By: Editorial Staff, Date: September 24th, 2024
Explore essential practices to strengthen your FCPA compliance program, manage risks, ensure regulatory adherence, and promote ethical standards within your organization through this infographic.
Discover additional strategies for FCPA enforcement and compliance in our webcast: Charting the Course: FCPA Enforcement and Compliance Strategies for Success
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FINRA Arbitration: Current Issues and Practice Tips for 2023
Following the controversial ruling by Georgia State Court on the Wells Fargo arbitration award in 2022, the Financial Industry Regulatory Authority (FINRA) is now pushing for a more transparent arbitration procedure. FINRA's new proposed rule change with the Securities and Exchange Commission (SEC) is aimed at improving the prevailing practices in the arbitration and resolution forum. While the FINRA arbitration landscape remains uncertain until the approved rule changes, practitioners must keep themselves abreast of any developments to mitigate potential drawbacks.