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Cadwalader, Wickersham & Taft LLP
The Office of Compliance Inspections and Examinations identified compliance issues for investment advisers in connection with the Compliance Rule.
Akin Gump Strauss Hauer & Feld LLP
On November 19, 2020, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) published a risk alert
Cadwalader, Wickersham & Taft LLP
The Office of Compliance Inspections and Examinations observed compliance deficiencies for investment advisers with branch offices and geographically dispersed operations.
Ballard Spahr LLP
The CFPB has issued a "Statement of Policy on Applications for Early Termination of Consent Orders."
Proskauer Rose LLP
As we previously reported, OFCCP released its latest Corporate Scheduling Announcement List (CSAL) on September 11, 2020, in which it identified 2,250 supply and service contractor...
Proskauer Rose LLP
On September 14, 2020, the Federal Register published an information collection request ("ICR") by the OFCCP in which the agency discloses...
Ogletree, Deakins, Nash, Smoak & Stewart
In recent months, Wisconsin federal courts have witnessed a dramatic increase in class litigation raising breach of fiduciary duty claims under the Employee Retirement Income Security Act of 1974...
Holland & Knight
With issuance of the June 29, 2020, memorandum by the U.S. Environmental Protection Agency (EPA) indicating that the temporary policy regarding EPA's exercise of enforcement discretion...
Groom Law Group
Unless the Securities and Exchange Commission (SEC) has a significant change of heart, the June 30 compliance date of its Regulation Best Interest (Reg BI) is almost upon us.
Arnold & Porter
On Monday, June 1, 2020, the Department of Justice (DOJ) Criminal Division published updates to its guidance on the factors that federal prosecutors should consider when assessing the...
Ropes & Gray LLP
In the second episode of Ropes & Gray's podcast series, Culture & Compliance Chronicles, litigation & enforcement attorneys Tina Yu and Amanda Raad...
Morrison & Foerster LLP
Stacey Sprenkel leads Morrison & Foerster's Global Ethics and Compliance practice and is a member of the firm's global anti-corruption team.
Proskauer Rose LLP
As faithful readers of this blog know, OFCCP proposed significant changes to its audit scheduling letters in April 2019, and then scaled back those changes in June 2019 revisions. Now, close to a year...
Shearman & Sterling LLP
On March 18, PJM Interconnection, L.L.C filed with the FERC proposed changes to its Tariff in compliance with FERC's order of December 19, 2019, which required PJM to expand, with certain exemptions and exceptions, ...
Mayer Brown
On March 13, 2020, the staff of the US Securities and Exchange Commission ("SEC") published guidance to assist investment companies and others affected by COVID-19 with their upcoming...
Proskauer Rose LLP
On February 21, 2020, OFCCP launched an online training platform called the Contractor Compliance Institute ("CCI"). In announcing the release of CCI, the agency stated it "created...
Arnold & Porter
The case concerned allegations that a hospital deliberately falsified patient arrival times so that it could receive enhanced payments from the Centers for Medicare and Medicaid Services.
Sheppard Mullin Richter & Hampton
Host Michael Cohen is joined by Jim McGinnis, a member of the Antitrust and Competition Practice Group in Sheppard Mullin's San Francisco office.
Maples Group
An ever-evolving regulatory landscape, the continued focus of cybersecurity and other emerging trends have made managing compliance a top priority for investment managers.
Cooley LLP
We all hope that the predictions about the spread and seriousness of COVID-19 (coronavirus) prove to be unfounded.
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