Thought Leadership

Eight Simple Questions for the Current Regulatory Climate

External Article

Brad Bennett, Kyle Clark and Bridget Moore published an article, “Eight Simple Questions for the Current Regulatory Climate” in Bloomberg Law’s Securities Regulation & Law Report on October 9, 2017. The article examines that the first eight months of the Trump Administration have coincided with a fall-off in high profile corporate- related civil and criminal enforcement activity. This turn of events has raised questions regarding corporate compliance and regulatory risk.

These questions include:

  • Question 1: Do regulated entities have more latitude to operate in grey areas?
  • Question 2: Do individuals have a lower risk of prosecution?
  • Question 3: Has whistleblower risk declined?
  • Question 4: Can we expect lower fines and penalties?
  • Question 5: Will Kokesh v. U.S. have a material effect on the SEC's enforcement program?
  • Question 6: Do companies have more leeway in disciplining senior employees who engage in misconduct?
  • Question 7: Have the standards changed for when to launch an internal investigation?
  • Question 8: May corporations be more strategic in determining when to use independent outside counsel to conduct an internal investigation?

For a copy of the article, please click the title link below.

Eight Simple Questions for the Current Regulatory Climate

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