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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 -
Fenwick & West LLP

The FTC Cracks Down on Fake Reviews with New Rule

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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

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

Ankura

Navigating Disputes in the Digital Advertising Industry

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The digital advertising industry, driven by advertising technology (AdTech), has dramatically transformed how businesses reach their target audiences. AdTech encompasses various tools and software that facilitate the buying,...more

BakerHostetler

Data Security, Commercial Email and Employee Reviews Walk into a Bar...

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Sorry folks, there is no punchline here, but there are bottom lines from a settlement the Federal Trade Commission (FTC) announced last week. We discuss three today: (1) the FTC continues to mount broad investigations and...more

Gardner Law

FDA Faces Pressure to Enhance Oversight of Online Prescription Drug Promotions

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The U.S. Food and Drug Administration (FDA) is facing pressure from Congress and the medical community to enhance its oversight of online prescription drug advertising. The pressure comes amidst growing concerns about social...more

Legal Internet Solutions Inc.

Gen AI and Attorney Ethics: A State-by-State Roundup

Be cautious, be curious, be vigilant, and be brave. Those were the words of the New York State Bar Association’s Task Force on Artificial Intelligence. It is good advice. GenAI is here and lawyers need to understand its...more

Knobbe Martens

Olympics Advertising – Don’t be Ambushed by Rule 40

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The Olympics are coming! Now is a good time for brand owners who are planning promotional activities related to the Olympic games, or have endorsement agreements with Olympic athletes, to review the rules and make sure they...more

Venable LLP

FTC Issues Guides for Made in USA Claims

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In early July the Staff of the Federal Trade Commission (FTC) issued new guidance on how to approach Made in USA claims. The agency says the new guidance will help businesses comply with its “all or virtually all” standard,...more

Venable LLP

Political Advertising: A Lucrative Election-Year Market with Unique Pitfalls

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With the 2024 elections well underway, advertisers of all stripes are seeking new and more efficient ways to reach potential voters, donors, and supporters across platforms. The market for political advertising on U.S....more

Klein Moynihan Turco LLP

Major Updates to Google Gaming Advertising Regulations Take Effect July 15!

As of today, July 15, 2024, Google gaming regulations contain significant revisions. The Google Ads policy for daily fantasy sports (“DFS”) operators now enable them to run advertisements in many markets across the United...more

Hinch Newman LLP

FTC Made in USA Labeling Rule Compliance and Defense Lawyer on Refreshed Agency U.S. Origin Claim Guidance

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On July 2, 2024, the Federal Trade Commission announced a “refreshed version” of the agency’s Complying with the Made in USA Standard guidance document. The refreshed guidance document includes, without limitation, updated...more

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for June 2024

Private Fund Rules Cancelled, Survey Says Marketing Rule is a Lot of Work and the Intersection of Regulation BI and Investment Adviser’s Fiduciary Duty - Welcome to our June Regulatory Roundup, where we provide you with a...more

Alston & Bird

What Does California Drip-Pricing Law Mean for Retailers?

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Our Class Action and State & Local Tax teams answer the questions California’s SB 478 raises about how sellers can present prices to consumers. Advertising, displaying, or offering a price that does not include all...more

ArentFox Schiff

New SEC Guidance on Marketing Rule: Ensuring Compliance in Advertisement and Marketing Material for Investment Advisors 2024

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The US Securities and Exchange Commission (SEC) recently released two new sources of guidance for the Marketing Rule. On February 26, the SEC Division of Investment Management released an FAQ clarifying how to include gross...more

Davis Wright Tremaine LLP

Stay ADvised: 2024, Issue 11

Plaintiff Says Splenda 100% Natural Ad Claims Leave a Bitter Taste - A class action lawsuit accuses the makers of Splenda Naturals Stevia, a sugar alternative, of misleading consumers with the claim that the product is...more

BakerHostetler

FTC Continues Focus on Disclosure of Health Information to Third-Party Technologies

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A recently announced settlement with online alcohol addiction treatment service Monument Inc. demonstrates the Federal Trade Commission’s (FTC) continued focus on the use and disclosure of health data. The proposed settlement...more

SEC Compliance Consultants, Inc. (SEC³)

SEC Tells Advisers What Not to Do in Advertisements

SEC’s Division of Examinations (“EXAMS”) issued a risk alert on its Initial Observations Regarding Advisers Act Marketing Rule Compliance (the “Risk Alert”), giving compliance officers an unexpected gift by sharing examples...more

Ervin Cohen & Jessup LLP

California Attorney General Office Issues Much Needed Guidance On “Honest Pricing” Requirements

On May 8, 2024, the California Attorney General’s Office released much needed and highly anticipated guidance on steps companies in California will need to take to ensure compliance with SB 478, California’s prohibition on...more

Womble Bond Dickinson

Federal Trade Commission Strikes Against “Crafted in America” Language

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As previously reported by Home Textiles Today, the Federal Trade Commission (FTC) has announced a “record civil penalty” of $3.175 million against a retailer who failed to tell the truth about whether the products it sells...more

Royer Cooper Cohen Braunfeld LLC

The New Marketing Rule: Notes from the Field

On April 17th, the SEC issued a Risk Alert titled “Initial Observations Regarding Advisers Act Marketing Rule Compliance.” Perusing the list of failures, a sense of familiarity arose, given that one of our clients had been...more

Lowenstein Sandler LLP

SEC Finds Advisers' Compliance with Marketing Rule Still Lacking Despite Examination and Enforcement Focus

Rule 206(4)-1, as amended (the Marketing Rule), continues to be an area of focus for the U.S. Securities and Exchange Commission (SEC). On April 17, 2024, the SEC Division of Examinations (Division) published a risk alert...more

Davis Wright Tremaine LLP

Broadcasters: The 2024 Election Is Six Months Away. Are You Prepared for Your Political Programming Obligations?

As you are aware, the general election date is Tuesday, November 5, 2024. This means that the FCC's lowest unit charge ("LUC") obligations for the general election begin Friday, September 6, 2024 (or earlier, if there are...more

BCLP

SEC Risk Alert on Compliance with the Marketing Rule-Examination Observations

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On April 17, 2024, the Division of Examinations (the “Division”) of the Securities and Exchange Commission (the “SEC”) published a Risk Alert entitled: “Initial Observations Regarding Advisers Act Marketing Rule Compliance”...more

Venable LLP

FCC Adopts Video Service All-In Pricing Rules

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On March 14, the Federal Communications Commission (FCC) adopted new rules that require cable television operators and satellite video providers to specify the aggregate monthly all-in price for video programming services on...more

WilmerHale

California AG Announces Second CCPA Enforcement Action

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On February 21, the California Attorney General (“AG”) announced a settlement with DoorDash, an online food delivery service, to resolve allegations that the company violated the California Consumer Privacy Act (CCPA) and...more

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