Mondaq USA: Corporate/Commercial Law > Compliance
Cadwalader, Wickersham & Taft LLP
As previously covered, NFA amended (i) NFA Bylaw 301 and NFA Compliance Rule 2-24, and (ii) the Interpretive Notice relating to proficiency requirements for individuals engaged in swaps activities.
Morrison & Foerster LLP
On August 20, 2019, the Staff of the SEC's Division of Corporation Finance published nine new Compliance and Disclosure Interpretations on the use of Inline XBRL
Akin Gump Strauss Hauer & Feld LLP
In this episode, Akin Gump health care and life sciences counsel Taylor Jones and Matt Wetzel discuss the Justice Department's recent guidance on evaluation of corporate compliance programs.
Cadwalader, Wickersham & Taft LLP
Regulatory change significantly increases overhead expenses for financial institutions. The Cabinet offers tools that allow firms and individuals to track regulatory developments
Hogan Lovells
On 4 September 2019 the U.S. State Department issued "Draft 'U.S. Government Guidance for the Export of Hardware, Software and Technology...
Jones Day
Ambiguous, undefined terms create uncertainty and confusion, including whether owned or controlled subsidiaries of U.S. companies outside the United States are subject to this reporting requirement.
Butler Snow LLP
Previously, we introduced you to this topic and provided updates about the positive international trends in anti-corruption efforts, bribery, and the Organization for Economic Cooperation and Development (OECD
Gibson, Dunn & Crutcher
On September 4, 2019, Google and its subsidiary, YouTube, agreed to pay a record $170 million fine to settle allegations by the Federal Trade Commission ("FTC") and New York Attorney General ("AG")
Gibson, Dunn & Crutcher
Since it was enacted in July 2010, the Dodd-Frank Act's Volcker Rule has challenged banks and their regulators alike. This is particularly the case with respect to its restrictions
Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") reported examination findings at state-registered investment advisers, highlighting the rising rate of cybersecurity deficiencies.
Jones Day
FINRA advises broker-dealers about the SEC's recently adopted Regulation Best Interest and solicits implementation questions.
Jones Day
The case arose from a listeria outbreak in Blue Bell's manufacturing plants.
Akin Gump Strauss Hauer & Feld LLP
On August 29, 2019, The Securities and Exchange Commission (SEC) instituted cease-and-desist proceedings against California based Juniper Networks, Inc.
Sheppard Mullin Richter & Hampton
A 2016 Final Rule from CMS created a new regulatory requirement for long-term care facilities, 42 C.F.R. § 483.85, that mandates such facilities have in operation, by November 28, 2019,
Cadwalader, Wickersham & Taft LLP
The Options Clearing Corporation ("OCC") settled SEC and CFTC charges alleging failures to address risk management related compliance requirements.
Cadwalader, Wickersham & Taft LLP
The SEC Office of Compliance Inspections and Examinations ("OCIE") urged investment advisers to review written policies and procedures so as to maintain compliance with the restrictions
Arnold & Porter
On August 28, 2019, the Federal Trade Commission (FTC) settled allegations that an investment advisor and three funds it manages failed
Proskauer Rose LLP
Recently, a group of Congress members introduced into Congress Senate Bill 2155 named the Stop Wall Street Looting Act of 2019. Although unlikely to be enacted into law as drafted
Eide Bailly LLP
While the 2010 Affordable Care Act (ACA) was designed with the potential to make employee health care insurance easier to obtain, cost less and expand coverage.
WilmerHale
On June 5, 2019, the SEC adopted a package of rulemakings and interpretations designed to enhance the quality and transparency of investors' relationships with broker-dealers and investment advisers.
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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.
Ropes & Gray LLP
On June 28, 2019, the French National Financial Prosecutor's Office (Parquet National Financier)("PNF")1 and the French Anti-Corruption Agency (Agence Française Anticorruption)("
Butler Snow LLP
No, we have not reversed global warming. But, we do have the Immigration and Customs Enforcement ("ICE") coming to our meetings in August.
Dentons
On January 1, 2020, California will become the first state in the United States to implement a comprehensive consumer data privacy law called the California Consumer Privacy Act of 2018 (CCPA).
Dentons
On January 1, 2020, California will become the first state in the US to implement a sweeping new data privacy law that gives its residents the right to know (1) what "personal information" has been collected about them;...
Kramer Levin Naftalis & Frankel LLP
In March 2019, final rules amending Regulation S-K and related rules and forms were adopted. Included in these rules were requirements that registrants use Inline XBRL
Squire Patton Boggs LLP
The Antitrust Division of the Department of Justice ("Division") now considers a company's compliance program at the charging and sentencing stages in a criminal antitrust investigation
Ropes & Gray LLP
Corporate social responsibility disclosure and compliance is an increasing area of focus for many in-house legal departments.
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Ropes & Gray LLP
Third parties serve a critical function to multinational life sciences companies ("MNCs") internationally. MNCs rely on third parties for various functions
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