Financial Regulation

Gift Cards and the Potential for Money Laundering

Apr 10, 2014 Analysis

The growth of gift cards raises new and unexpected challenges for regulators and law enforcement.

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Changing Risk Culture is Hard

Mar 31, 2014 Opinion

Culture and attitudes toward risk are built into the foundations of systemically important banks.

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Former Commissioner Speaks About SEC’s Role in Rapidly Changing Market

Mar 27, 2014 News

Troy A. Paredes offers his views on recent regulatory developments at a Penn seminar.

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The Battle over Transatlantic Financial Regulation

Mar 19, 2014 Opinion

Improved diplomatic processes would help strengthen international economic cooperation.

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Rarely Used Rule May Expand Small Companies’ Access to Capital

Feb 27, 2014 Analysis

SEC proposal would exempt small businesses from federal and state security registration.

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“Big Four” Decision Shines Light on Regulatory Conflicts

Feb 26, 2014 Analysis

International accounting firms remain stuck between Chinese and U.S. law.

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Could Financial Services Save the Postal Service?

Feb 19, 2014 News

Controversial new report argues that postal banking could help the underserved while boosting revenues.

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The Shift to Prosecuting Companies Instead of Individuals

Jan 16, 2014 Opinion

Federal prosecutors have made a subtle but important shift over the last 30 years to prosecuting companies and institutions.

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Potential Reasons for the Dearth of Prosecutions

Jan 15, 2014 Opinion

Alternative priorities and government ties to the conditions that caused the financial crisis could explain the lack of prosecutions.

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The Department of Justice and the Prosecution of Fraud

Jan 14, 2014 Opinion

The DOJ has excused the failure to prosecute high-level individuals for fraud on one or more of three grounds.

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