Tag Archives: Potential

OCIE head highlights key compliance considerations, potential internal controls enhancements

By Amy Leisinger, J.D. In recent remarks, the SEC’s Office of Compliance Inspections and Examinations Director Peter Driscoll urged chief compliance officers and firms on the whole to remain vigilant in their efforts to protect investors. According to the director, … Continue reading

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Three ways to maximize the career potential in each of your law school summers

What are you planning on doing this and maybe the next few summers? If you plan it well, three years of law school can provide you with up to four summers’ worth of work experience in law/related fields. From traditional … Continue reading

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Seattle Crane Collapse Gives Rise to Potential Claims Against General and Subcontractors

A construction crane collapsed from the roof of a building on Saturday afternoon tragically killing four people and injuring four others. Two of the people killed were ironworkers and two others were bystanders. The crane was positioned on the new … Continue reading

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"Artificial Intelligence in the Medical System: Four Roles for Potential Transformation" by Price

W. Nicholson Price (University of Michigan Law School) has published "Artificial Intelligence in the Medical System: Four Roles for Potential Transformation" on SSRN. Here is the abstract: Artificial intelligence (AI) looks to transform the practice of medicine. As academics and… … Continue reading

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SEC OCIE Highlights Potential Deficiencies in Firm Privacy Policies

On April 16, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert highlighting Regulation S-P compliance deficiencies and issues it found in recent examinations of broker-dealers and investment advisers. Regulation S-P is the primary SEC rule … Continue reading

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