Volume 11, Issue 1
(2016)
SYMPOSIUM: The Role of Technology in Compliance in Financial Services: An Indispensable Tool as well as a Threat?
Articles
The Question Concerning Technology in Compliance
Sean J. Griffith
The Cybersecurity Threat: Compliance and the Role of Whistleblowers
Jennifer M. Pacella
Preserving Human Agency in Automated Compliance
Onnig H. Dombalagian
Mandatory Third Party Compliance Examinations for Investment Advisers: An SEC Waterloo?
Mercer Bullard
Compliance, Technology, and Modern Finance
Tom C.W. Lin
Notes
The Choice is (Not) Yours: Why the SEC Must Further Amend Its Rules of Practice to Increase Fairness in Administrative Proceedings
Madeline Ilibassi
Bankruptcy: Where Attorneys Can Lose Big Even If They Win Big
Stanislav Veyber