Searching Content indexed under Compliance by Stroock & Stroock & Lavan LLP ordered by Published Date Descending.
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Screening The Use Of Screening Software For OFAC Sanctions Compliance
On November 27, the Treasury Department's Office of Foreign Assets Control ("OFAC") announced a settlement agreement with a Virginia-based global technology ...
United States
14 Dec 2018
Out With The Old -- In With The New: DOD Replaces Its 1985 Guidance On NISP
Change is nearly continuous for the National Industrial Security Program. On August 1, the Department of Defense ("DoD") issued DoD Manual 5220.22, Volume 2,
United States
9 Oct 2018
SEC Identifies Top 6 Investment Advisory Fee And Expense Compliance Issues For Investment Advisers
On April 12, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a Risk Alert highlighting the most frequent advisory fee...
United States
24 Apr 2018
OCIE Issues Risk Alert Highlighting The Most Frequent Advertising Rule Compliance Issues
On September 14, 2017, the OCIE issued a Risk Alert highlighting compliance issues relating to Rule 206(4)-1 under the Investment Advisers Act of 1940, as amended, which the OCIE staff most frequently identified ...
United States
3 Oct 2017
The National Industrial Security Program Directive: Some Hits, Some Runs, Some Errors
On January 11, 2017, the ISOO of the National Archives and Records Administration published a proposed rule amending the National Industrial Security Program Directive Number 1...
United States
14 Feb 2017
Wrap Fee Programs In SEC's Crosshairs: Program Participants On Notice
Since July 2016, the Securities and Exchange Commission has announced three separate enforcement actions and simultaneous settlements against wrap fee program participants.
United States
12 Oct 2016
2014 Regulatory And Compliance Ups And Downs - Developments Of Interest To Foreign Investors And Others In The National Security Sector
Whistleblower awards by the Securities & Exchange Commission ("SEC" or "the Commission") increased in number and dollars in 2014. On September 22, the Commission authorized an award of over $30 million to a whistleblower who provided information that led to a successful SEC enforcement action and successful related actions.
United States
30 Jan 2015
Preserving Attorney-Client Privilege In Internal Investigations: Risks And Challenges Remain After D.C. Circuit’s High-Profile Decision In "Barko"
In today’s increasingly heightened enforcement environment, internal investigations have become more prevalent, as companies seek to prevent and mitigate improper conduct.
United States
22 Oct 2014
For Companies Operating Under Approved FOCI Mitigation Plans: A Shared Services Plan Checkup Can Avoid Unnecessary Costs
Most cleared companies operating under formal agreements to mitigate or negate foreign ownership, control or influence are familiar with the Affiliated Operations Plan.
United States
6 Aug 2014
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