Tag: deference

For years there has been a debate regarding the fee caps the Commission adopted in 2005 and the impact of the maker-taker business model. Academics and industry participants have debated if the fee cap remains appropriate. They have also debated …

SEC’s Pilot Program Struck Down by DC Circuit Read More »

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Corporate compliance is a critical issue for any firm. The DOJ and the SEC have each made it clear, for example, that compliance can have a significant impact on the resolution of investigations and possible charges. While neither the DOJ …

DOJ, Corporate Compliance, Deference and Law Enforcement Read More »

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