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Red Notice Newsletter - August 2019
On August 29, 2019, The Securities and Exchange Commission (SEC) instituted cease-and-desist proceedings against California based Juniper Networks, Inc.
United States
11 Sep 2019
Corp Fin Publishes New C&DIs Clarifying Inline XBRL Rules
eXtensible Business Reporting Language (XBRL), the open international standard for digital business reporting,
United States
27 Aug 2019
SEC Proposes To Modernize Disclosures Of Business, Legal Proceedings, And Risk Factors Under Regulation S-K
In an effort to improve the readability of disclosure documents, as well as discourage repetition and disclosure of information that is not material, the Securities and Exchange Commission (SEC)
United States
26 Aug 2019
SEC Proposal Would Relax ICFR Auditor Attestation Requirement For Certain Smaller Reporting Companies
In an effort to reduce compliance costs for public companies, the Securities and Exchange Commission (SEC) proposed amendments
United States
19 Aug 2019
Corporate Compliance Programs Now Even More Important In Criminal Antitrust Investigations
The Department of Justice (DOJ) will now evaluate corporate compliance programs as a factor in determining whether to bring criminal antitrust charges.
United States
2 Aug 2019
Effective Corporate Compliance Programs Now Even More Important In Criminal Antitrust Investigations
The Department of Justice (DOJ) will now evaluate corporate compliance programs as a factor in determining whether to bring criminal antitrust charges.
United States
2 Aug 2019
DOJ's Recent Enforcement Policy Changes Further Incentivize Effective Corporate Compliance Programs
On May 20, 2019, Principal Deputy Associate Attorney General Claire McCusker Murray addressed the annual Compliance Week Conference regarding the new enforcement policies previously announced
United States
17 Jun 2019
DOJ's New Corporate Compliance Evaluation Guidance
On April 30, 2019, the Criminal Division of the U.S. Department of Justice (DOJ) issued updated guidance for white-collar
United States
14 Jun 2019
SEC OCIE Issues Guidance On Advisors' And Broker-Dealers' Cloud-Based And Other Network Storage Of Customer Data
On May 23, 2019, the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE)
United States
11 Jun 2019
OFAC's New Framework For An Effective Sanctions Compliance Program Provides Important Risk Mitigation Advice
The U.S. Department of the Treasury's Office of Foreign Assets Controls (OFAC) recently published guidance that describes the framework for an effective Sanctions Compliance Program (SCP).
United States
10 Jun 2019
DOJ Announces New FCA Policy
On May 6, 2019, Assistant Attorney General (Civil) Joseph Hunt announced a new DOJ policy for incentivizing companies and individuals to voluntarily disclose false claims to the government,
United States
28 May 2019
DOJ Assistant FCPA Chief Discusses "Meat-And-Potatoes" Cases, A "Global Awakening" And The Impact Of New Technologies On Evaluations Of Corporate Compliance
The Assistant Chief of the U.S. Department of Justice (DOJ), Criminal Division, Fraud Section's Foreign Corrupt Practices Act (FCPA) Unit spoke at an event presented by Dow Jones Risk & Compliance on Tuesday, March 12.
United States
29 Mar 2019
Diversity Disclosure Requirements: SEC Staff Issues New C&DIs Clarifying Regulation S-K Requirements
Last week, the Staff of the DCF of the SEC released new compliance and disclosure interpretations, which clarify disclosure requirements relating to diversity under Item 401(e) and Item 407(c)(2)(vi) of Regulation S-K.
United States
18 Feb 2019
Upcoming February And March Deadlines Under New York DFS Cybersecurity Regulation, Including New Third-Party Service Provider Requirements
This client alert will briefly outline key upcoming deadlines under the New York State Department of Financial Services (DFS) Cybersecurity Regulation (the "Regulation").
United States
5 Feb 2019
Non-Profit Activists' Strategic Pursuit Of Alleged GDPR Violations Spurs Compliance Developments
Non-profit organizations are testing companies' GDPR compliance through targeted requests for information and other means and are filing complaints against allegedly non-compliant companies.
United States
30 Jan 2019
FERC Assesses Significant Civil Penalty Against Natural Gas Pipeline for Allegedly Violating Certificate
On January 7, 2019, the Federal Energy Regulatory Commission (FERC or "the Commission") issued an Order approving a settlement between its Office of Enforcement (Enforcement) and Algonquin Gas Transmission.
United States
16 Jan 2019
Top 10 Topics For Directors In 2019 – Plus Special Bonus On Midterm Elections
The corporate culture of a company starts at the top, with the board of directors, and directors should be attuned not only to the company's business ...
United States
15 Jan 2019
The Practical Impact Of The Government Shutdown For Private Parties
The new 116th Congress convened on Thursday, January 3, 2019 as the partial government shutdown, carrying over from the prior Congress, continued into the new year
United States
14 Jan 2019
SEC OCIE Issues Guidance On Advisers' Recordkeeping Requirements For Electronic Messaging Following Its Sweep Examination
On December 14, the SEC's OCIE issued a Risk Alert summarizing the findings of its limited-scope examination initiative relating to electronic messaging
United States
20 Dec 2018
California Law Requires Female Presence In Boardrooms
On September 30, Governor Jerry Brown (D) signed a new California law requiring female presence on boards of public companies headquartered in California.
United States
23 Oct 2018
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