Mondaq USA: Corporate/Commercial Law > Compliance
Cooley LLP
Businesses need to start thinking about this and making preparations now.
Mayer Brown
If you were somewhat put off by the prospect of reading over 1,000 pages of adopting releases for Regulation Best Interest and the Form CRS relationship summary and amendments to Form ADV, you are now
Torres Law, PLLC
In recent years, the U.S. Securities and Exchange Commission appears to be taking a more active role in a regulatory area for which it is not traditionally associated: economic sanctions.
Torres Law, PLLC
On September 19, 2019, the DDTC entered into a consent agreement with L3Harris Technologies, Inc. for alleged violations of the Arms Export Control Act and the International Traffic in Arms Regulations.
Mayer Brown
Section 206(3) makes it unlawful, with certain limited exceptions, for an investment adviser to directly sell or purchase securities to and from clients or to act as a broker for a third party effecting
Mayer Brown
Bylined article by Financial Services Regulatory & Enforcement partner Jeffrey Taft and associates Matthew Bizanz and Leslie Cruz.
Ropes & Gray LLP
Costa Rica is the latest country in Latin America to establish corporate criminal liability for acts of corruption, following the recent implementation of similar legislation in Argentina
Squire Patton Boggs LLP
The Antitrust Division of the Department of Justice ("Division") now considers a company's compliance program at the charging and sentencing stages in a criminal antitrust investigation.
Squire Patton Boggs LLP
As shown in the U.S. Department of Labor ("DOL") Bureau of International Labor Affairs' International Child Labor & Forced Labor Reports
Weintraub Tobin Chediak Coleman Grodin Law Corporation
The deadline for business to implement compliance with the California Consumer Privacy Act is just around the corner and chances are most businesses are not ready.
Proskauer Rose LLP
Regulation of Custodial Practices under the Investment Advisers Act of 1940 is a comprehensive outline summarizing SEC regulatory requirements for investment advisers that have ...
Cleary Gottlieb Steen & Hamilton LLP
On September 4, 2019, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert addressing the most common compliance issues it identified in examinations of ...
Shearman & Sterling LLP
On October 1, 2019, the Internal Revenue Service (IRS) issued Revenue Procedure 2019-40 (Revenue Procedure) and proposed regulations (Proposed Regulations) ...
O'Melveny & Myers LLP
As US and international regulation of digital tokens evolves, token issuers and trading platforms continue to seek clarity on how to be compliant within a developing legal framework. Recognizing this
Cadwalader, Wickersham & Taft LLP
A Wisconsin-based marketing digital and print services provider settled SEC charges that it violated the anti-bribery and books and records provisions of the Foreign Corrupt Practices Act
Steptoe & Johnson LLP
Data privacy laws are front and center with the GDPR's one-year anniversary and the California Consumer Privacy Act taking effect in months.
Gibson, Dunn & Crutcher
The Bank Secrecy Act requires financial institutions to establish an anti-money laundering (AML) compliance program to prevent and detect financial crime.
Cleary Gottlieb Steen & Hamilton LLP
California's 2019 legislative session has drawn to a close with passage of five amendments to the California Consumer Privacy Act (CCPA) during the final days of the session.
Kramer Levin Naftalis & Frankel LLP
Failures by a number of investment advisers to comply with certain rules governing principal and agency cross trades has prompted the compliance inspections staff of the Securities...
Venable LLP
Companies that do business with state and local governments are subject to a wide array of laws restricting their political contributions, as well as the personal political contributions ...
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Lewis Brisbois Bisgaard & Smith LLP
The 2018 California legislative session was another busy year with numerous employment-related bill signed into law.
Ropes & Gray LLP
Corporate social responsibility disclosure and compliance is an increasing area of focus for many in-house legal departments.
Kramer Levin Naftalis & Frankel LLP
In March 2019, final rules amending Regulation S-K and related rules and forms were adopted. Included in these rules were requirements that registrants use Inline XBRL
Butler Snow LLP
Previously, we introduced you to this topic and provided updates about the positive international trends in anti-corruption efforts, bribery, and the Organization for Economic Cooperation and Development (OECD
Shearman & Sterling LLP
On June 5, 2019, the U.S. Securities and Exchange Commission (the "SEC" or "Commission") culminated its multi-year consideration of commentary
Shearman & Sterling LLP
On June 5, 2019, the Securities and Exchange Commission (the "SEC") released a long-anticipated interpretation of investment adviser fiduciary duty under Section 206 of the US Investment
Cooley LLP
As the NFL season gets underway, it is interesting to see how certain plays go from fringe status to near-universal.
Arnold & Porter
The US Department of Justice and US Securities and Exchange Commission have announced over $1 billion in corporate settlements of Foreign Corrupt Practices Act matters so far this year.
Akin Gump Strauss Hauer & Feld LLP
In this episode, Akin Gump health care and life sciences counsel Taylor Jones and Matt Wetzel discuss the Justice Department's recent guidance on evaluation of corporate compliance programs.
Butler Snow LLP
No, we have not reversed global warming. But, we do have the Immigration and Customs Enforcement ("ICE") coming to our meetings in August.
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