| Table of Contents |
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| Chapter 1: Broker-Dealer and Adviser Compliance Programs |
Clifford E. Kirsch ~ Sutherland
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| Chapter 2: Basel Committee on Banking Supervision: Compliance and the Compliance Function in Banks |
Kathryn S. Reimann ~ Citi
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| Chapter 3: Basel Committee on Banking Supervision: Principles for the Sound Management of Operational Risk |
Kathryn S. Reimann ~ Citi
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| Chapter 4: Board of Governors of the Federal Reserve System Supervisory Letter SR 08-8/ CA 08-11; Re: Compliance Risk Management Programs and Oversight at Large Banking Organizations with Complex Compliance Profiles |
Kathryn S. Reimann ~ Citi
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| Chapter 5: Safeguarding Customer Information and Privacy |
Tanya L. Forsheit ~ InfoLawGroup LLP
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| Chapter 6: Money Laundering: A Primer |
Sung-Hee Suh ~ Schulte Roth & Zabel LLP
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| Chapter 7: Corporate Political Activities: Pay-to-Play, Campaign Finance, Lobbying, and Gift Laws |
Ki P. Hong ~ Skadden, Arps, Slate, Meagher & Flom LLP
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| Chapter 8: The SEC's Whistleblower Program |
Lawrence A. West ~ Latham & Watkins LLP
Stephen P. Wink ~ Latham & Watkins LLP
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| Chapter 9: Federal Court Bars Extraterritorial Application of Dodd-Frank's Anti-Retaliation Provision to Whistleblowers Employed Abroad |
Cynthia M. Krus ~ Sutherland
Holly H Smith ~ Sutherland Asbill & Brennan LLP
Allegra J Lawrence-Hardy ~ Sutherland Asbill & Brennan LLP
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| Chapter 10: Federal Courts Split on Whether Dodd-Frank's Bar on Arbitration of Whistleblower Retaliation Claims Under Sarbanes-Oxley Is Retroactive |
Cynthia M. Krus ~ Sutherland
Holly H Smith ~ Sutherland Asbill & Brennan LLP
Allegra J Lawrence-Hardy ~ Sutherland Asbill & Brennan LLP
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| Chapter 11: What to Do When You Receive a Dodd-Frank FCPA Whistleblower Letter: Practical First Steps |
Sharie A. Brown ~ Troutman Sanders LLP
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| Index |
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