Searching Content indexed under Compliance by BakerHostetler ordered by Published Date Descending.
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New Antitrust Policy Gives Credit To All Cooperators
On July 11, 2019, the Department of Justice ("DOJ") Antitrust Division announced a new policy to encourage companies to invest in comprehensive and effective antitrust compliance programs
United States
26 Aug 2019
Part 3: Companies Are Not Complying With The Safe Harbor Provision Of The DMCA
Once a company is found ineligible for DMCA safe harbor, it is vulnerable to be found liable for copyright infringement claims.
United States
23 Aug 2019
SEC Adopts Investment Adviser And Broker-Dealer Rulemaking Package, Highlighted By The New "Best-Interest" Standard
On June 5, 2019, the Securities and Exchange Commission (SEC) voted to adopt a highly anticipated set of rules addressing the standard of conduct of registered investment advisers
United States
20 Aug 2019
Clarity And Transparency: DOJ Issues Updated Corporate Compliance Guide
On April 30, 2019, the Criminal Division of the U.S. Department of Justice ("DOJ") released a new corporate compliance guidance document ...
United States
30 May 2019
Beware The Ides Of March – Is Your NYDFS Cybersecurity Compliance In Order?
March is now here and with it the Cybersecurity Regulation of the New York Department of Financial Services (NYDFS) is now in full force and effect, including requirements relating to Third Party Service Providers[1] (e.g., vendors, suppliers, agents).
United States
15 Mar 2019
Insurance Data Security Model Law Picks Up Steam
Three states recently enacted variations of the NAIC Insurance Data Security Model Law (MDL-668), based on the landmark cybersecurity requirements issued by the NYDFS in March 2017.
United States
12 Feb 2019
The Three "Cs" For Investment Advisers' Compliance Attention In 2019
As chief compliance officers prepare for their annual compliance reviews, they should familiarize themselves with the examination priorities letter the Securities and Exchange Commission (SEC)
United States
22 Jan 2019
BakerHostetler FDA And Pharmacy Weekly Digest - November 12, 2018
The FDA issued a report on the prevalence of food-borne illness risk factors in fast-food and full-service restaurants. The results are part of the first phase of a 10-year study on the issue.
United States
15 Nov 2018
Principal Deputy Assistant Attorney General John P. Cronan Comments On The DOJ's Efforts To Establish Clear Guideposts In The Corporate Enforcement And Government Corruption Contexts
Principal Deputy Assistant Attorney General John P. Cronan Comments On The DOJ's Efforts To Establish Clear Guideposts In The Corporate Enforcement And Government Corruption Contexts
United States
14 Nov 2018
DOJ's New Guidance On Monitorships: Reaffirming The Importance Of Compliance And Preventing Misconduct
On October 12, 2018, at the NYU School of Law Program on Corporate Compliance and Enforcement Conference, Brian A. Benczkowski, Assistant Attorney General for the Department of Justice's Criminal Division...
United States
6 Nov 2018
Opportunity Zones And Opportunity Funds: Treasury Issues Eagerly Anticipated Proposed Regulations And Other IRS Guidance On New Tax Incentive
There also are further questions about some of the timing requirements and how they apply in certain cases.
United States
30 Oct 2018
Lawmakers Seek Clarity On ICOs As New Research Is Published
Recently, a group of 15 U.S. lawmakers requested clarification from the Securities and Exchange Commission (SEC) about its position on Initial Coin Offerings (ICOs)
United States
9 Oct 2018
Road Trip! FTC Fans Out In Nationwide Compliance Derby
A rag-tag gang of investigators from the FTC and 12 partner agencies swept across car dealerships in seven states between April and June 2018.
United States
9 Aug 2018
California Pushes Auto-Renewal Regs In New Directions
The Golden State has made some news recently as a thorn in the side of the Trump administration.
United States
29 Jun 2018
New SEC Enforcement Initiative Encourages Advisers To Self-Report Mutual Fund Share Class Violations
On February 12, 2018, the Division of Enforcement of the U.S. Securities and Exchange Commission ("SEC") announced a new initiative to encourage advisers to self-report share class violations.
United States
26 Feb 2018
The SEC Shortens The Settlement Cycle For Most Securities Transactions From Three Business Days To Two Business Days
The Securities and Exchange Commission has amended Rule 15c6-1 under the Securities Exchange Act of 1934 in order to shorten the standard settlement cycle for most broker-dealer securities transactions from three business days after the trade date to two business days after the trade date.
United States
12 Apr 2017
Justice Department Sets Standards For Evaluation Of Corporate Compliance Programs
Since the "DOJ" announcement of its new compliance counsel expert in November 2015, many have been waiting patiently for additional insight into the DOJ's emphasis on corporate compliance programs.
United States
7 Mar 2017
2016 Year-End Securities Litigation And Enforcement Highlights
Welcome to the 2016 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
United States
10 Feb 2017
Supreme Court Holds That A Gift Of Confidential Information Supports Insider Trading Conviction
In a highly anticipated decision, the Supreme Court yesterday upheld a man's conviction for insider trading based on a tip provided by his brother-in-law and rejected his contention that...
United States
13 Dec 2016
FCPA Chief Touts Record High Enforcement Actions – Links Avoiding A Monitor To Early Remediation Of FCPA Issues
Appearing before the annual Securities Docket Conference in Washington, DC on October 13, Kara Novaco Brockmeyer, the Chief of the Securities and Exchange Commission's FCPA Unit, laid out the Commission's FCPA enforcement priorities, including insight on how to avoid an SEC-imposed monitor.
United States
25 Oct 2016
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