Mondaq All Regions: Corporate/Commercial Law > Compliance
McCullough Robertson
Early cooperation with regulators may have a positive impact on civil and criminal penalties for corporate misconduct.
Koury Lopes Advogados
O Departamento de Justiça dos Estados Unidos ("DOJ") atualizou seu guia com parâmetros e diretrizes para avaliação de eficácia dos programas de compliance
Collas Crill
Companies will be required to confirm the above details to their Registered Agent within 6 months of the end of the first applicable financial period, as above.
DeHeng Law Offices
钢丝上起舞?——社交电商涉"传"案例分析与合规建议(上篇)
Ogier
The European Securities and Markets Authority (ESMA) has published an updated version of its questions and answers (Q&A) documents
Heuking Kuehn Lueer Wojtek PartGmbB
Spanish working time law only requires that employers systematically measure their employees' working hours in case of overtime.
Gowling WLG
An injunction can be sought from the Court before or after proceedings have been commenced to either stop a company or person from doing something (a prohibitory injunction)
Shepherd and Wedderburn LLP
The principal provisions of the Minimum Energy Efficiency Standards (MEES) came into force on 1 April 2018. One year on, we look back to consider the effect MEES
Cadwalader, Wickersham & Taft LLP
The Securities and Exchange Commission (the "SEC") on June 5 adopted Regulation Best Interest: The Broker-Dealer Standard of Conduct
Mayer Brown
On June 5, 2019, the Securities and Exchange Commission (SEC) adopted Regulation Best Interest (Rule 15l-1 under the Securities Exchange Act of 1934 (Exchange Act)),
Gibson, Dunn & Crutcher
Deferred Prosecution Agreements (DPAs) and Non-Prosecution Agreements (NPAs) are favored enforcement tools for resolving white collar investigations that have figured prominently in some of the largest and most complex multi-agency and cross-border resolutions
Proskauer Rose LLP
On June 5, 2019, the Securities and Exchange Commission voted to adopt a package of rulemakings and interpretations, including (i) a new rule creating a standard of conduct for broker-dealers when recommending securities to retail investors (Regulation Best Interest),...
Kramer Levin Naftalis & Frankel LLP
On June 5, 2019, the SEC adopted a package of rules and interpretations (the Adopted Rules) to clarify and further articulate the relationship between retail investors and their broker-dealers or investment advisers.
Duff and Phelps
Strategies for handling these potentially traumatic situations need to be an integral part of a firm's compliance DNA.
Duff and Phelps
Experienced investors demand sophisticated compliance.
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted no-action relief to swap dealers to permit certain amendments to "legacy swaps" without causing them to lose their
Moritt, Hock & Hamroff LLP
It is no surprise, in light of tightened budgets and concerns about low staffing, that the Internal Revenue Service recently announced a development
Cooley LLP
On May 29, Nevada passed a privacy law giving consumers the right to opt out of the sale of their personal information.
Cleary Gottlieb Steen & Hamilton LLP
In the Risk Alert, OCIE indicated it had frequently identified deficiencies with regard to Firms' provision of adequate notice to their customers.
TMF Group
Global accounting and tax regulators have been making moves towards uniformity and harmonisation.
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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.
Blaney McMurtry LLP
Topics covered included another decision in the ongoing Residential School Settlement saga (procedural fairness), family law (unequal division of property and striking pleadings for failure to comply with disclosure order)
IndusLaw
The RBI, on September 1, 2018, released a user manual to clearly set out the procedure for filing a single master form, which it introduced on June 7, 2018, to integrate the existing reporting norms for foreign investment in India.
Alexander Holburn Beaudin + Lang LLP
For a few months during the summer of 2018, Fortis BC closed a long strip of Vancouver's East 1st Avenue to conduct gas line work.
Chambers of Rajan & Indraneel
The Ministry of Corporate Affairs ("MCA"), vide its Notification dated 11 October 2018, has reconstituted the High Level Committee on Corporate Social Responsibility.
Burnet, Duckworth & Palmer LLP
On December 2, 2018, Premier Rachel Notley announced that, as of January 1, 2019, Alberta will curtail 325,000 barrels per day of raw crude oil and crude bitumen production.
ELIG Gürkaynak Attorneys-at-Law
On May 30, 2019, Ministry of Justice ("Ministry") prepared the judicial reform strategy document ("Strategy Document") which introduces comprehensive changes and improvements to the Turkish judicial system.
Khurana and Khurana
A Committee under the chairmanship of Mr. Injeti Srinivas formed by the Ministry of the Company Affairs ("MCA") gave their recommendations to relook the offences ...
Khaitan & Co
The changes to the private placement norms while they provide some respite, have largely made compliances more cumbersome for issuance of equity linked securities.
Holding Redlich
As Artificial Intelligence regulation develops, businesses must address legal and ethical considerations in AI contracts.
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