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Compliance

Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory violations. ... more +
Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory violations.  In response to many corporate scandals evidencing rampant unethical business practices, many nations, including the United States, began passing strict regulatory frameworks aimed at curbing these abuses. Notable pieces of legislation in this area include the U.S. Foreign Corrupt Practices Act (FCPA), Sarbanes-Oxley (SOX), and the U.K. Bribery Act, to name a few. The foregoing statutes and the severe penalties often associated with them form the basis of many modern institutional compliance programs. less -
Thomas Fox - Compliance Evangelist

Tone at the Top Week: Part 4 – CCOs Using Team Meetings to Further Compliance

We continue our blog post series on how CEOs and top senior executives can demonstrate the ubiquitous Tone at the Top. Setting the tone of doing business ethically and in compliance is one of the most critical...more

Faegre Drinker Biddle & Reath LLP

Los Angeles County Fair Chance Ordinance – Summary of New Requirements

As of September 3, 2024, employers in the unincorporated areas of Los Angeles County must comply with the Los Angeles County Fair Chance Ordinance (FCO), which places restrictions on criminal background screening beyond those...more

Goodwin

FinCEN Adopts Final AML Program Rule for Investment Advisers

Goodwin on

The U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) adopted a final rule (the Final Rule) on August 28 that will treat certain investment advisers and exempt reporting advisers as financial...more

Goodwin

FinCEN and Banking Agencies Propose AML Program Rule Updates for Banks and Other Financial Institutions

Goodwin on

Earlier this summer, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued a Proposed Rule revising its regulations under the Bank Secrecy Act (BSA) requiring financial institutions to...more

Goodwin

FinCEN Adopts Reporting Requirement for Non-Financed Residential Real Estate Transfers

Goodwin on

The U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) has issued a final rule (the Residential Real Estate Rule) requiring certain persons involved in residential real estate closings and...more

Venable LLP

Custody Battles: The FDIC's Latest Proposed Rule on FBO Accounts

Venable LLP on

The FDIC has issued a proposed rule that would apply to practically all bank-fintech arrangements that use custodial deposit accounts to provide customers with transactional features (also called "FBO" accounts for short)....more

Ankura

Navigating ESG Challenges: Insights and Strategies from London International Disputes Week

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In keeping with this year's London International Disputes Week (LIDW) theme “Uniting for Global Challenge and Opportunity,” Ankura Consulting and Charles Russell Speechlys sponsored, in partnership with Kumi Consulting, a...more

Mintz - Employment Viewpoints

The Massachusetts Supreme Judicial Court Clarifies Rules on Benefit Accrual During PFML

On September 13, 2024, the Massachusetts Supreme Judicial Court (the “SJC”) ruled that the Massachusetts Paid Family and Medical Leave Act (the “Act”) does not guarantee the accrual of benefits such as sick leave, vacation...more

Seward & Kissel LLP

Compliance Flash: Reminder to File the 2024 Annual Report of Blocked Property with OFAC

Seward & Kissel LLP on

Each year, the United States Department of the Treasury’s Office of Foreign Assets Control (“OFAC”) requires all holders of blocked property to submit an Annual Report of Blocked Property (“ARBP”) setting forth all blocked...more

Foley & Lardner LLP

Final Mental Health Parity Rules – Top Five Changes to the Status Quo

Foley & Lardner LLP on

The Mental Health Parity and Addiction Equity Act and its implementing regulations and guidance (MHPAEA) prohibit health insurance policies and group health plans that cover mental health and substance use disorder (MH/SUD)...more

Alston & Bird

EPA Extends Deadline for PFAS Reporting Under TSCA

Alston & Bird on

The Environmental Protection Agency (EPA) has extended the deadline for reporting on per- and polyfluoroalkyl substances (PFAS) under the Toxic Substances Control Act. Our Environment, Land Use & Natural Resources Group...more

Thomas Fox - Compliance Evangelist

Tone at the Top Week: Part 3-Email as a Strategic Compliance Tool

We continue our exploration of how CEOs and senior executives are uniquely positioned to drive home the importance of ethical behavior and adherence to compliance regulations. Today, we consider the humble email and how it...more

Fenwick & West LLP

The FTC Cracks Down on Fake Reviews with New Rule

Fenwick & West LLP on

The Federal Trade Commission (FTC) has recently announced a final rule that, among other things, prohibits the fabrication and manipulation of consumer reviews, testimonials, and the misuse of social media indicators in...more

Gardner Law

Privacy Summer School – “Back to School” Recap

Gardner Law on

This summer, Paul Rothermel presented a three-part webinar series “Privacy Summer School” covering key privacy topics. These programs, drawing on Paul’s deep privacy experience, covered key areas of compliance and risk as...more

Good2bSocial

Decoding Google Analytics 4 for Law Firms: Understanding Your Data

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Google Analytics 4 (GA4), the latest iteration of Google’s analytics platform, offers a wealth of insights but comes with a new interface and features that can be daunting. Understanding how to navigate GA4 and interpret its...more

Proskauer - Employee Benefits & Executive...

Final Mental Health Parity Regulations Released, with Plan Sponsor Action Required by 2025

Last week, the Departments of Labor, Treasury, and Health and Human Services finalized regulations implementing the Mental Health Parity and Addiction Equity Act of 2008 (MHPAEA). Although the final regulations step back...more

Mintz - Health Care Viewpoints

Will Sustained Pressure on the 340B Program Finally Lead to Much Needed Reform?

As we enter into the final months of 2024, new developments in the administration of the 340B Drug Pricing Program signal that additional reform may be on the way. Although recent revisions to the 340B program’s...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

Maine Paid Family and Medical Leave Start Date for Payroll Withholdings and Quarterly Wage Reports Is January 1, 2025

The start date for payroll withholdings and submissions of quarterly wage reports under the Maine Paid Family and Medical Leave (MPFML) Program is January 1, 2025, leaving employers with a sense of urgency as the compliance...more

Stark & Stark

Corporate Transparency Act (CTA): Action Required for Community Associations

Stark & Stark on

As the end of the year approaches, there has been no determination that community associations will be relieved of the requirement to comply with the Corporate Transparency Act (CTA). While we remain hopeful of a legislative...more

Buchalter

Best Practices for I-9 Compliance in 2024

Buchalter on

USCIS introduced a new Form I-9 to a single-sided sheet. All employers MUST now use the form version released in August 2023. The form is now available in fillable form on tablets and mobile devices...more

Nelson Mullins Riley & Scarborough LLP

California Privacy Protection Agency Launches Informative Blog for Privacy Updates

The California Privacy Protection Agency (CPPA) has taken a step towards enhancing transparency and public engagement around its objectives and priorities by launching its official blog. This platform, available at CPPA Blog...more

Mayer Brown

UK Government Launches Office of Trade Sanctions Implementation to Enforce UK Trade Sanctions

Mayer Brown on

On 12 September 2024, the UK Government published the regulatory framework providing the scope and powers of the Office of Trade Sanctions Implementation (OTSI), the authority responsible for the implementation and...more

Holland & Knight LLP

Massachusetts Board of Pharmacy to Take a Big Step: Licensing Nonresident Pharmacies

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In a move that could reshape the regulatory landscape for pharmacies servicing Massachusetts residents, the Massachusetts Board of Pharmacy has announced that it will soon begin licensing nonresident pharmacies and requiring...more

Lighthouse

Navigating Antitrust Enforcement: The Supreme Court Decision on Chevron Doctrine

Lighthouse on

Summary: Understanding the context of the Chevron doctrine decision is important to prepare for the unpredictability of antitrust enforcement. Our recommendations for in-house counsel help to jumpstart your game plan....more

SEC Compliance Consultants, Inc. (SEC³)

Nine Advisers Face $1.24 Million Fallout from SEC’s Marketing Rule Sweep

September 30 is the SEC’s fiscal year-end, so it's no surprise to see an uptick in enforcement cases this month. The latest slew of settlements involved violations of the Marketing Rule (Advisers Act Rule 204(4)-1) for...more

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