Posts tagged Financial-Industry Gatekeepers.
Addressing the annual meeting of the Compliance & Legal Division of the Securities Industry and Financial Markets Association, Manhattan U.S. Attorney Preet Bharara stressed the importance of industry compliance and legal personnel as gatekeepers in risk avoidance and loss prevention. Bharara started with a nod to the "necessity and importance" of corporate prosecutions as drivers of change for persistent and systemic problems. Noting the CommerzBank deferred prosecution agreement among other recent cases, he repeated his now-annual refrain that corporate ...
Posted in: Third Circuit Court
Tags: Bharara, Compliance & Legal Division of the Securities Industry and Financial Markets Association, Financial-Industry Gatekeepers, gatekeepers, industry compliance, Lauds, SDNY, securities litigation, U.S. Attorney Preet Bharara