As part of Temple Law’s Faculty Spring Colloquium Series, Professor Veronica Root Martinez presented her paper: The Government’s Prioritization of Information Over Sanction: Implications for Compliance. Professor Martinez teaches at Notre Dame Law School and is also the Director of the Program on Ethics, Compliance & Inclusion.
This Month from the Temple Law Center for Compliance and Ethics: Ethics and compliance champions play a critical role in enhancing program effectiveness with technology and personal leadership. A trusted champion can encourage more people to speak up internally, early and often. A human review system in business units and local offices where risks occur is one of the biggest opportunities for an organization.
On October 7, 2020, the Securities and Exchange Commission (SEC) adopted Rule 12d1-4 and other amendments under the Investment Company Act of 1940, as amended, which streamline and enhance the regulatory requirements for registered investment companies and business development companies to acquire shares of other funds in excess of the limits in Section 12(d)(1) of the 1940 Act.