Professional Documents
Culture Documents
Federal Reserve Compliance Risk Management Programs and Oversight at Large Banking
Organizations with Complex Compliance Profiles
Basel Committee on Banking Supervision Corporate Governance Principles for Banks (July
2015)
Class 2: Impact of the U.S. Financial Crisis and Foundations of Compliance (9/5)
Corporate Governance in an Era of Compliance, Sean J. Griffith, William & Mary Law Review,
Vol. 57, No. 6, 2016.
Lin, Tom C. W., Compliance, Technology, and Modern Finance (2016). 11 Brook. J. Corp. Fin. &
Com. L. 159 (2016); Temple University Legal Studies Research Paper No. 2017-06.
SEC FAQs about Liability of Compliance and Legal Personnel at Broker-Dealers under Sections
15(b)(4)( and 15(b)(6) of the Exchange Act
Ed Caesar, Deutsche Banks $10-Billion Scandal, The New Yorker, August, 29, 2016.
Google Spain SL v. AEPD, Mario Costeja Gonzalez, Case C-131/12 (right to be forgotten)
SEC Interpretive Release 34-47806 Electronic Storage of Broker-Dealer Records (May 2003)
FINRA Letter of Acceptance Waiver and Consent re: Barclays Recordkeeping (December 2013)
In re Litvak
Class 8: Policy Introduction, Bring Your Own Device (BYOD) and Voice Recording (10/31)
Morgan Stanley Code of Conduct (posted under Ethics, Practices and Procedures section)
Morrison & Foerster The Guide to Social Media and the Securities Laws