Mondaq USA: Compliance
Jones Day
The Situation: In what may indicate a sea change in terms of who the Department of Justice ("DOJ") is willing to pursue in False Claims Act cases, a private equity firm has been named as a co-defendant in a False Claims Act complaint, along with one of its portfolio companies.
Shearman & Sterling LLP
On 29 November 2017, Deputy Attorney General Rod Rosenstein announced a revised Foreign Corrupt Practices Act ...
Fredrikson & Byron, P.A.
Other recent SEC enforcement actions include proceedings dated January 18 and January 30, each revoking a registration of securities after the respective registrants failed to file several periodic reports.
Cadwalader, Wickersham & Taft LLP
The "FATF Public Statement," which was published on November 3, 2017, identifies jurisdictions that are subject to its call for countermeasures or are subject to enhanced due diligence due to their strategic AML/CFT deficiencies.
Holland & Knight
While financial recoveries under the federal False Claims Act (FCA) continued at a fast pace last year, the U.S. Department of Justice (DOJ) started 2018 ...
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance dates, effective dates, reporting deadlines, and expiration dates.
Seyfarth Shaw LLP
The Opinion takes the groundbreaking step of setting out many of the best practices that attorneys can­—and should—strive to achieve in their passport travels.
Seyfarth Shaw LLP
Florida's recently-enacted House Bill 727 gives businesses a way to deter serial plaintiffs from suing them in Florida courts.
Seyfarth Shaw LLP
The new ISO standard brings significant change that will require considerable time and thought to implement.
Cadwalader, Wickersham & Taft LLP
FinCEN notified U.S. financial institutions that the Financial Action Task Force ("FATF") updated the list of jurisdictions with strategic deficiencies in combating anti-money laundering and countering the financing of terrorism ("AML/CFT").
Mayer Brown
Regulators have also brought several new enforcement actions during the first quarter of this year under existing pay-to-play rules and ethics laws.
Holland & Knight
On March 27, 2017, the OIG released a 54-page guidance document regarding how to measure the effectiveness of a compliance program.
Cadwalader, Wickersham & Taft LLP
Forty House Democrats urged DOL Office of Regulations and Interpretations ("ORI") Employee Benefits Security Administration Acting Secretary Edward Hugler to reconsider the DOL's proposed delay of the fiduciary rule...
Foley & Lardner
Spurring growth in domestic manufacturing through regulatory reform is a key objective of the Trump Administration.
Without fanfare or forewarning, the US Department of Justice released new anti-corruption compliance guidance on February 8, 2017. The eight page document provides rare insight into the government's evaluation of corporate compliance programs.
Cadwalader, Wickersham & Taft LLP
The SEC Division of Investment Management (the "Division") updated guidance on automated advisers (or "robo-advisors") that provide services directly to clients over the internet.
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"...
Morrison & Foerster LLP
OCIE also provided examples of the types of deficiencies they see within each compliance topic.
Shearman & Sterling LLP
In January 2017, we published our bi-annual Recent Trends and Patterns in FCPA Enforcement report, part of our FCPA Digest, which provides an analysis of recent enforcement trends and patterns...
Holland & Knight
With year-end FEC filings now submitted and the 2018 election season already underway, federal PAC managers now have the opportunity to reassess efforts to ensuring continuing compliance with federal campaign finance laws.
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