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Compliance in the Information Age

Fall 2017 Reading List

Class 1: Course Introduction (8/29)

International Compliance Association What is Compliance?

Federal Reserve Compliance Risk Management Programs and Oversight at Large Banking
Organizations with Complex Compliance Profiles

Basel Committee on Banking Supervision Corporate Governance Principles for Banks (July

Class 2: Impact of the U.S. Financial Crisis and Foundations of Compliance (9/5)

PBS Frontline Episode Inside the Meltdown

SIFMA White Paper on the Role of Compliance (October 2005)

- Will be posted to LawNet

SIFMA The Evolving Role of Compliance (March 2013)

Class 3: Theories of Compliance and Technology (9/12)

Corporate Governance in an Era of Compliance, Sean J. Griffith, William & Mary Law Review,
Vol. 57, No. 6, 2016.

Lin, Tom C. W., Compliance, Technology, and Modern Finance (2016). 11 Brook. J. Corp. Fin. &
Com. L. 159 (2016); Temple University Legal Studies Research Paper No. 2017-06.

Class 4: Supervisory Responsibility (9/19)

SEC FAQs about Liability of Compliance and Legal Personnel at Broker-Dealers under Sections
15(b)(4)( and 15(b)(6) of the Exchange Act

In re: Theodore W. Urban (supervisory responsibility of compliance officers,

pages 35-57)

NYDFS Consent Order, In re Deutsche Bank AG

Ed Caesar, Deutsche Banks $10-Billion Scandal, The New Yorker, August, 29, 2016.

Class 5: Privacy and Information Security (9/26)

JP Morgan Chase website Terms of Use

Chase Online Privacy Policy

Chase Consumer Privacy Notice

Compliance in the Information Age
Fall 2017 Reading List

Chase California Privacy Notice

Google Terms of Service

Google Privacy Policy

Google Spain SL v. AEPD, Mario Costeja Gonzalez, Case C-131/12 (right to be forgotten)

Class 6: Financial Services Recordkeeping (10/3)

SEC Rules 17a-3 and 17a-4

CFTC Rules 1.31, 23.200, 23.201, 2

3.202 and 23.203

SEC Interpretive Release 34-47806 Electronic Storage of Broker-Dealer Records (May 2003)

FINRA Letter of Acceptance Waiver and Consent re: Barclays Recordkeeping (December 2013)

- Will be posted to LawNet

** October 10 - no class, Monday schedule **

** October 17 - no class, Midterm due **

Class 7: Messaging Supervision (10/24)

FINRA Notice 07-59 re: email supervision

FINRA Notice 14-10 re: consolidated supervision

FINRA Rule 3110 Supervision

FINRA AWC - Stephens, Inc.

In re Litvak

- Will be posted to LawNet

Class 8: Policy Introduction, Bring Your Own Device (BYOD) and Voice Recording (10/31)

Google Code of Conduct

Morgan Stanley Code of Conduct (posted under Ethics, Practices and Procedures section)

UK Bar Council Sample BYOD Policy

City of Ontario v. Quon, 130 S. Ct. 2619 (2010)

Compliance in the Information Age
Fall 2017 Reading List

Class 9: Voice Recording (11/7)

CFTC Dodd-Frank Regulations - Class 6 reading

SIFMA No Action Relief Request, August, 10, 2012

- Will be posted to LawNet

Class 10: Social Media (11/14)

FINRA Notice 10-06

FINRA Notice 11-39

FINRA Notice 17-18

Class 11: Social Media continued (11/21)

Morrison & Foerster The Guide to Social Media and the Securities Laws

SEC Reg FD Social Media Investigative Report

FFIEC Social Media Guidance

Recent NLRB Decisions

- Will be posted to LawNet

Class 12: Exam Review (11/28)