Anti-Corruption Compliance Program Audits
How to Monitor, Audit and Improve Your Anti Corruption Compliance Program
FCPA Compliance and Ethics Report-Episode 82, continued fallout from GSK in China
Antitrust Enforcement and Compliance Programs
Anti-Corruption Due Diligence Practical Steps to Protect Your Company from Third Party Risks
How Ed O'Bannon Just Disrupted College Athletics
FCPA Compliance Programs A Review of Best Practices
How the Financial Crisis Changed Cahill Gordon
Fine Tuning Your Anti Corruption Compliance Program
FCPA Compliance and Ethics Report-Episode 80, Interview with the FCPA Professor, Part I
Private Equity's Inversion Excursion: Pepper Hamilton Talks Tax With the Deal
Creating an Integrated Due Diligence System - Screening to Audits
Third Party Due Diligence When is Enough, Enough?
An FCPA Review: A Look Back at 2013 and Trends for 2014
Building an Anti Corruption Compliance Program Practical Steps 2 18 14, 9 02 AM
The Role of a Chief Compliance Officer: Navigating the Compliance Landscape (March 18, 2014)
Keeping Your Due Diligence System Manageable March 31, 2014
Tailoring Your Anti Corruption Program to a Risk Assessment
Managing Your Anti Corruption Policies and Procedures
A Focus on Energy: Traditional MLPs vs. Variable MLPs
On February 21, 2013, the Financial Industry Regulatory Authority (FINRA) issued a written decision finding that the Federal Arbitration Act (FAA) bars FINRA from enforcing FINRA Rules intended to preserve judicial class...more
The CFPB has issued its semiannual regulatory agenda which identifies seven regulatory matters that the CFPB “reasonably anticipates” having under consideration during the period from October 1, 2012 to October 1, 2013....more
Originally published in the Investment Adviser Association Newsletter on December 3, 2012.
The Financial Industry Regulatory Authority (FINRA) recently issued guidance (Guidance) stating that it will now accept requests...more
The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd Frank) amended the whistleblower provision in Section 806 of the Sarbanes-Oxley Act of 2002 (SOX) to state that pre-dispute arbitration agreements that...more
In This Issue:
Beltway Report; Bureau Report; Operations Report; Arbitration Report; Mortgage Report; Privacy Report; Plastics Report; and Preemption Report.
Excerpt from Beltway Report
MOU on Supervisory...more
Earlier this week, we shared the comment letter that was filed jointly by the American Bankers Association, the Consumer Bankers Association and The Financial Services Roundtable in response to the CFPB’s Request for...more
The American Bankers Association, the Consumer Bankers Association and The Financial Services Roundtable have filed a joint comment letter responding to the CFPB’s Request for Information Regarding Scope, Methods, and Data...more
Pacific Rim v El Salvador (ICSID Case No. ARB/09/12) is a recent decision by the International Centre for Settlement of Investment Disputes (ICSID). The arbitration is brought under the Dominican Republic — Central America —...more
Following the conclusion of a two-month public consultation period, the Hong Kong Securities and Futures Commission (SFC) announced on 21 May 2012 amendments to the Code of Conduct for Persons Licensed by, or Registered with,...more
The Consumer Financial Protection Bureau (CFPB) has launched the preliminary stage of its study into the use of mandatory arbitration clauses by issuing a Request for Information to the public asking for suggestions about how...more
We think two posts by Deepak Gupta that recently appeared on the Consumer Law & Policy Blog make for interesting reading.
Last July, on our blog, we wrote about how the hiring of Mr. Gupta by the CFPB’s Office of General...more
Maryland Adds Foreclosure Registration Requirement, Authorizes Pre-file Mediation, Amends Mortgage Licensing. On May 2, Maryland Governor O’Malley signed House Bill 1373, which establishes a state foreclosed property...more
One of the few grounds on which an arbitration award may be challenged in Superior Court is that the arbitrator exceeded his authority by denying a litigant a fair hearing. In a recent unpublished decision, Hansalik v. Wells...more
On April 24, the CFPB released a request for information to inform its study of the use and impact of arbitration clauses in consumer financial services agreements. Through June 23, 2012, the CFPB is seeking information from...more
On April 20, pursuant to the Dodd-Frank Act, the SEC approved amendments to FINRA Rule 13201 of the Code of Arbitration Procedure for Industry Disputes (Industry Code). The amendments provide that a dispute arising under a...more
This article was first published in the "Global Islamic Finance Report 2012"
in April 2012.
The number of Sharia compliant products that are available has grown enormously over the past few years. Many Islamic finance...more
On March 18 - 20, 2012, the Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Society hosted its annual seminar. Drawing some 1,300 securities industry participants and observers, the seminar...more
Nevada’s Foreclosure Mediation Program recently began sending a form letter (the Letter) to homeowners shortly after participation in the Foreclosure Mediation Program. A copy of the Letter is included on the next page. The...more
In 2012, we no doubt will see the continuation of a significant trend towards the use of mediation to resolve financial services disputes. A perfect storm of economic, legislative, and regulatory conditions has been...more
The Securities and Exchange Commission (SEC) has published a proposed rule applicable to arbitrations conducted by the Financial Industry Regulatory Authority, Inc. (FINRA). See 77 Fed. Reg. 1773. The rule would preclude...more
In This Issue:
Beltway Report; Bureau Report; Operations Report; Privacy Report; Arbitration Report; Mortgage Report; and Preemption Report
Excerpt from "Beltway Report"
The Volcker Rule Proposal
In this issue: Arbitration Report; Beltway Report; Mortgage Report; Operations Report; Plastic Report; Preemption Report; Privacy Report; and MoFo Metrics.
Call us “Hobbits” if you will, Senator McCain, but expect more...more
In This Issue
- Transmission Planning and Cost Allocation Under FERC Order No. 1000
Amended regulations ensuring efficient and cost-effective investment decisions are necessary because...more
As of July 22, Washington state’s new foreclosure mediation program, established by the Foreclosure Fairness Act (FFA), provides a mechanism for borrowers facing foreclosure to pursue modified loan agreements with the help of...more
This week, FINRA announced that it had launched the FINRA Disciplinary Actions Online database. According to FINRA’s news release, this is a web-based searchable system that makes its disciplinary actions accessible via its...more
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