Searching Content indexed under Compliance by WilmerHale ordered by Published Date Descending.
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CFTC Announces Whistleblower Award Totaling More Than $2 Million To Company Outsider
On March 4, 2019, the CFTC announced a whistleblower award totaling more than $2 million to a company outsider who contributed information through independent analysis that led to a successful CFTC enforcement action ...
United States
11 Mar 2019
FINRA Requests Comment on Proposed New Outside Business Activities Rule
FINRA requests comment on all aspects of the proposal, and specifically requests comment on the issues listed in Appendix A.
United States
4 Apr 2018
AML And Sanctions: 2017 Trends And Developments
Over the past year, regulators continued to actively examine compliance, introduce new and heightened requirements, recalibrate global priorities, and aggressively pursue enforcement.
United States
28 Apr 2017
Compliance Officer Liability: Between A Rock And A Hard Place?
In recent years, a perception has developed that compliance officers have personally become more exposed to regulatory and government enforcement action.
21 Apr 2017
Evaluating FCPA Pilot Program: Lessons And Expectations
On April 5, 2016, the U.S. Department of Justice released a nine-page memorandum launching a one-year pilot program to reward companies that voluntarily self-report violations of the Foreign Corrupt Practices Act.
United States
21 Apr 2017
United States
29 Mar 2017
The UK Senior Managers Regime: One Year Later
On March 7, 2017, it will be one year since the U.K. Financial Conduct Authority's senior managers and certification regime came into force, heralding a new era of personal accountability in the financial sector.
9 Mar 2017
SEC Enforcement: 2016 In Review and Looking Ahead to 2017
WilmerHale's Securities Enforcement and Litigation Group has released commentary discussing the Securities and Exchange Commission's enforcement record in 2016 and considering potential changes as a result of the new administration and change in leadership at the SEC.
United States
4 Mar 2017
President Trump Signs Executive Order Setting Guidelines For Identifying Regulations For Repeal, Replacement, Or Modification
On February 24, 2017, President Trump signed an Executive Order setting forth guidelines pursuant to which the Trump administration will implement and enforce its regulatory reform initiatives and identify regulations for repeal, replacement, or modification.
United States
1 Mar 2017
FTC Settles Deception Charges Relating To Privacy Program Claims
On February 22, 2017, the FTC settled charges with three companies that, according to the FTC, deceptively claimed that they participated in the Asia-Pacific Economic Cooperation Cross-Border Privacy Rules.
United States
23 Feb 2017
Welcome Changes To The Enforcement Process: More Streamlined, Efficient And Transparent
The Consultation Paper amalgamated the recommendations made in both reports and consulted on the corresponding proposed amendments.
22 Feb 2017
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