Mondaq USA: Corporate/Commercial Law > Compliance
Ogletree, Deakins, Nash, Smoak & Stewart
With less than six months until the May 25, 2018, effective date for the EU GDPR, companies are assessing their GDPR readiness and concentrating their compliance efforts on the highest risk areas.
Cadwalader, Wickersham & Taft LLP
A Seattle-based therapist, Kenneth Peer, agreed to settle SEC charges of insider trading based on information he obtained from a patient during a confidential counseling session.
Cadwalader, Wickersham & Taft LLP
The SEC temporary final rule modifying its approach to filing requirements for Form N-PORT was published in the Federal Register.
The Law Offices of Daniel J. Hurson, LLC
When one considers the subject of corporate compliance today, there is a wealth of information regarding how to create and structure compliance programs.
Ogletree, Deakins, Nash, Smoak & Stewart
An OFCCP compliance review is initiated by a company's receipt of a scheduling letter from the agency.
Much Shelist, P.C.
Beginning on June 1, 2017, providers must use specific forms published on the Centers for Medicare and Medicaid Services (CMS) website in order to utilize the Voluntary Self-Referral Disclosure Protocol (SRDP) ...
Hughes Hubbard & Reed LLP
Nearly every day brings news of another company caught in the crosshairs of government enforcement agencies.
Cadwalader, Wickersham & Taft LLP
J.P. Morgan Securities ("JP Morgan") agreed to pay $1.25 million to settle FINRA charges that it failed to perform adequate background checks on its non-registered associated persons.
Womble Bond Dickinson
FCA has published a note summarising the results of its review of the compliance function in wholesale banks. It had asked 22 wholesale banks (including global banks, medium-sized banks....
Jones Day
In Varela v. AE Liquidation, Inc. (In re AE Liquidation, Inc.), 866 F.3d 515 (3d Cir. 2017), the U.S. Court of Appeals for the Third Circuit became the sixth circuit court of appeals to rule...
Cadwalader, Wickersham & Taft LLP
Companies that are either located in, or transact business in the United States – even if they are not in highly regulated industries like health care or finance...
Cadwalader, Wickersham & Taft LLP
The MSRB requested public comment on how to most effectively facilitate compliance with, and understanding of, MSRB regulatory requirements for brokers, dealers...
Foley Hoag LLP
In Washington, D.C., the news this week focused on President Trump's decision to designate (or redesignate) North Korea as a state sponsor of terrorism.
Kramer Levin Naftalis & Frankel LLP
The OCIE staff reported that some investment advisers published client statements in their advertisements that may constitute prohibited testimonials under of the Advertising Rule.
Jones Day
Biometric data can be thought of as innate, unique, and immutable information about a person.
Withers LLP
On October 23, 2017, the Securities and Exchange Commission approved new auditing standards for the Public Company Accounting Oversight Board, which had been proposed on July 19, 2017.
Cadwalader, Wickersham & Taft LLP
The OCIE found frequent deficiencies regarding municipal advisors' compliance with applicable registration, recordkeeping and supervisory regulations.
Morrison & Foerster LLP
While no federal appellate court besides the Second Circuit has squarely addressed the issue...
Farella Braun & Martel
For a company under actual or potential government scrutiny, an independent internal investigation performed by outside counsel, sometimes coupled with cooperation with the government ...
Cadwalader, Wickersham & Taft LLP
The new rules will more closely align U.S. auditing standards with those adopted (i) by the International Auditing and Assurance Standards Board...
Latest Video
Most Popular Recent Articles
The Law Offices of Daniel J. Hurson, LLC
When one considers the subject of corporate compliance today, there is a wealth of information regarding how to create and structure compliance programs.
Jones Day
In Varela v. AE Liquidation, Inc. (In re AE Liquidation, Inc.), 866 F.3d 515 (3d Cir. 2017), the U.S. Court of Appeals for the Third Circuit became the sixth circuit court of appeals to rule...
Much Shelist, P.C.
Beginning on June 1, 2017, providers must use specific forms published on the Centers for Medicare and Medicaid Services (CMS) website in order to utilize the Voluntary Self-Referral Disclosure Protocol (SRDP) ...
Ogletree, Deakins, Nash, Smoak & Stewart
With less than six months until the May 25, 2018, effective date for the EU GDPR, companies are assessing their GDPR readiness and concentrating their compliance efforts on the highest risk areas.
Seyfarth Shaw LLP
The new ISO standard brings significant change that will require considerable time and thought to implement.
Cadwalader, Wickersham & Taft LLP
Companies that are either located in, or transact business in the United States – even if they are not in highly regulated industries like health care or finance...
Jones Day
On February 8, 2017, the United States Department of Justice ("DOJ") Fraud Section published a blueprint for assessing corporate compliance efforts, titled "Evaluation of Corporate Compliance Programs"...
Jones Day
Biometric data can be thought of as innate, unique, and immutable information about a person.
Hughes Hubbard & Reed LLP
Nearly every day brings news of another company caught in the crosshairs of government enforcement agencies.
Foley Hoag LLP
In Washington, D.C., the news this week focused on President Trump's decision to designate (or redesignate) North Korea as a state sponsor of terrorism.
Article Search Using Filters
Related Topics
Mondaq Advice Center (MACs)
Popular Authors
Popular Contributors
Up-coming Events Search
Tools
Font Size:
Translation
Channels
Mondaq on Twitter
Partners
In association with