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Searching Content indexed under Compliance by Kramer Levin Naftalis & Frankel LLP ordered by Published Date Descending.
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1
Les premières lignes directrices communes PNF/AFA
Une clarification bienvenue quant au comportement attendu des entreprises dans le cadre de la procédure de transaction pénale à la française
France
16 Aug 2019
2
KL Snapshot #26 - May-June 2019
KL Snapshot is a bi-monthly newsletter encompassing the latest articles and seminars of the Paris-based lawyers.
France
22 Jul 2019
3
Programmes De Conformité : Un Atout Pour Les Entreprises
Paris partner Noëlle Lenoir authored an article titled "Programmes de conformité : un atout pour les entreprises" which was published by the French publication Echanges internationaux on July 1, 2019.
France
15 Jul 2019
4
OCIE Warns That Investment Advisers And Broker-Dealers Are Putting Investor Information At Risk
The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a risk alert warning that investment advisers and broker-dealers
United States
12 Jul 2019
5
SEC Adopts Regulation Best Interest And Related Rules And Interpretations
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.
United States
21 Jun 2019
6
Banking, Finance And Insurance Letter - Mars-Avril 2019
Le 13 mars 2019, l'ESMA a mis à jour son Interactive Single Rulebook en y intégrant les mesures de niveau 2 et 3 de MiFID II (incluant RTS, actes délégués, opinion et Q&A).
United States
11 Jun 2019
7
Banking, Finance And Insurance Letter - March-April 2019
On March 13, 2019, ESMA updated its Interactive Single Rulebook to incorporate MiFID II Level 2 and 3 measures (including RTS, delegated acts, opinion and Q&A).
United States
11 Jun 2019
8
DOJ Criminal Division Releases Updated Guidance For Evaluation Of Corporate Compliance Programs
On April 30, 2019, Brian A. Benczkowski, the assistant attorney general for the Criminal Division of the United States Department of Justice ...
United States
28 May 2019
9
CFTC Divisions Release 2019 Enforcement Priorities
In a regulatory first, the Commodity Futures Trading Commission (CFTC) announced its 2019 examination priorities for registrants of the Division of Market Oversight (DMO) ...
United States
11 Mar 2019
10
Google's Fine And The French Data Protection Authority's Far-Reaching GDPR Compliance Measures
On Jan. 21, 2019, the French Data Protection Authority (CNIL) levied a 50 million euros sanction against Google LLC1 for violating the EU General Data Protection Regulation
United States
7 Mar 2019
11
City Protections Expand While State Law Plays Catch-Up: New Employee Protections For Gender Identity And Expression And Sexual And Reproductive Health Decisions
New York legislators have hit the ground running in 2019, enacting new legislation expanding employee protections at both state and city levels.
United States
19 Feb 2019
12
OCIE Releases 2019 Examination Priorities
The SEC's Office of Compliance Inspections and Examinations (OCIE) released its examination priorities for 2019 in order to promote the transparency of its investigation program.
United States
6 Feb 2019
13
New Year, New Employee Handbook! Is Your Employee Handbook Up To Date?
Now that the Times Square glitter has settled, it's time to get started on tackling those New Year's resolutions.
United States
31 Jan 2019
14
Non-respect des obligations en matière de publication d'informations privilégiées et sanction des dirigeants d'une personne morale
Si les dispositions de l'article 17 du règlement (UE) n° 596/2014 du Parlement européen et du Conseil du 16 avril 2014 sur les abus de marché ne prévoient pas la responsabilité du dirigeant.
United States
21 Jan 2019
15
Funds Talk: December 2018
Legal commentary on the news and events that matter most to alternative asset managers and funds.
United States
5 Dec 2018
16
Poor Compliance With Cash Solicitation Rule Prompts OCIE Risk Alert
Among those conditions is that the cash fee must be paid pursuant to a written solicitation agreement to which the adviser is a party.
United States
4 Dec 2018
17
Compliance In France And The United States: A Combination Of Corporate And Social Responsibility
In the past, French law neither mandated nor provided any material incentives for companies to embrace compliance, corporate and social challenges.
France
12 Nov 2018
18
SEC Staff Allows Boards To Rely On CCO Determinations For Various Affiliated Transactions
In a no-action letter (the Relief) issued on Oct. 12, 2018, to the Independent Directors Council, the Securities and Exchange Commission staff (the Staff)...
United States
23 Oct 2018
19
SEC Proposes To Simplify Debt Offering Disclosures
In July, the Securities and Exchange Commission (SEC) proposed amendments to streamline financial disclosure requirements for two categories of market participants:
United States
5 Sep 2018
20
OCIE Warns Advisers Regarding Best Execution Obligations
On July 11, 2018, the Securities and Exchange Commission (SEC) issued a risk alert outlining certain compliance issues identified by its Office of Compliance Inspections and Examinations
United States
6 Aug 2018
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