News & Analysis as of

Compliance Enforcement

Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory... 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 -

Everything Compliance-Episode 11, the first 100 Days of the Trump Administration, Part II

by Thomas Fox on

In this second of a two-part series, we conclude the panel’s discussion of the first 100 days of the Trump administration as it relates to compliance. This episode concludes with the panelists’ rants. 1. Matt Kelly opens...more

China Employment Law Alert: Chinese Employers Now Subject to New Grading System

by Seyfarth Shaw LLP on

The Chinese Ministry of Human Resources and Social Security (MHRSS) has launched a new nationwide grading system to evaluate employers’ employment law compliance. This system has been put in place via the Measures for the...more

Your Cyber Minute: Current GDPR regulatory and enforcement landscape

by Hogan Lovells on

The conversation continues with Partner Harriet Pearson and Head of our Privacy and Cybersecurity practice in Europe Eduardo Ustaran as they go deeper into what clients need to know when it comes to compliance around the...more

HSR Act Violations Continue Trend of Heightened Enforcement, Increased Fines in 2016

by Morgan Lewis on

The past year was a challenging one for investors purchasing voting securities in public corporations with respect to compliance with the Hart-Scott-Rodino Antitrust Improvements Act....more

EU Legal Developments That May Impact Your Business in 2017

Sheppard Mullin’s EU team has created a list of major legal shifts that await General Counsel and Compliance Officers in the areas of competition, EU regulatory and trade in 2017. These challenges may have an impact on your...more

San Jose Ordinance: Offer Hours to Existing Employees before Hiring New Workers

by Morgan Lewis on

On November 8, over 63% of San Jose voters approved a first-of-its-kind ordinance that requires San Jose employers to offer additional hours of work to qualified existing employees before hiring new employees, subcontractors,...more

World Bank’s Integrity Vice President (INT) Releases Annual Report for Fiscal Year 2016

On October 7, 2016, the Integrity Vice President (INT) of the World Bank Group (the “Bank”) released its annual report for fiscal year 2016 (the “Report”). In the Report, INT provides insight into the Bank’s efforts to combat...more

2016 Mid-Year Global Cartel Enforcement Report

by Morgan Lewis on

Cartel enforcement activity promises to remain busy In the coming months and into 2017 Cartel enforcement remains a priority for competition authorities around the world. Global cartel fines totaled more than $6...more

Japan Bar Association Issues New Anticorruption Compliance Guidelines

by Morrison & Foerster LLP on

On July 15, 2016, the Japan Federation of Bar Associations (JFBA) issued new guidance for companies on complying with Japanese and other foreign anti-bribery laws (the “Guidance”). The Guidance comes on the heels of and...more

Is New York's Proposal a Harbinger of Things to Come? Certification of BSA/AML Compliance and Personal Liability for Mistaken or...

Why it matters - The New York Department of Financial Services (DFS) may have launched its strongest offensive yet against observed shortcomings in the Bank Secrecy Act and anti-money laundering (BSA/AML) compliance...more

[Webinar] Yates Memo Update—Individual Accountability and Best Practices for Executives: WilmerHale Financial Institutions Webinar...

by WilmerHale on

Join WilmerHale for the kickoff session of the 2016 Financial Institutions Webinar Series, where attorneys will explore recent developments and legal issues affecting financial institutions and providers of financial...more

Eye of the Storm: Be Prepared for Cross-Border Data Compliance Ahead of the January 1 Deadline

by Exterro, Inc. on

The eye at the center of a hurricane is the calmest part of the storm. Winds subside. Blue skies appear. A sense of relief falls over everyone because the immediate danger seems to have passed. But one of the biggest...more

[Webinar] Managing Risk in the Era of Cyber Insecurity - Oct. 27th, 1:00 CST

by Robins Kaplan LLP on

Join privacy and data security attorney Richard Martinez for this informative session that will break down the details of the 50 leading enforcement actions taken by the FTC to regulate data privacy and cyber security. By...more

International Trade Alert: Iranian sanctions and a new Office of Financial Sanctions Implementation

by DLA Piper on

Under the terms of the agreement, EU and US sanctions relief will be provided through the suspension and eventual termination of sanctions measures, beginning only if and when the International Atomic Energy Agency verifies...more

A Compilation of Enforcement and Non-Enforcement Actions

by Foley & Lardner LLP on

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

New Citywide Construction Fraud Task Force Promises Tough Enforcement

by Bracewell LLP on

On August 5th, the Manhattan District Attorney (the "DA’s Office") announced the formation of a multi-agency Citywide Construction Fraud Task Force that will be spearheaded by prosecutors from the office. Its mission is...more

DOJ Quietly Revises FCPA Resource Guide

by Morgan Lewis on

Revisions bring DOJ and SEC guidance in line with FCPA statutory language. In June, the US Department of Justice (DOJ) and Securities and Exchange Commission (SEC) quietly revised its manual, A Resource Guide to the U.S....more

Canada’s New Extractive Sector Transparency Measures Act and its Implications for Companies Subject to the U.S. Foreign Corrupt...

by Morrison & Foerster LLP on

On June 1, 2015, Canada’s Extractive Sector Transparency Measures Act (“ESTMA” or “the Act”) came into force. Approved in December 2014, but not in force until this month, the Act requires companies in the extractive sector...more

Open Internet Advisory Opinions: Do You Feel Lucky?

by Davis Wright Tremaine LLP on

As part of the 2015 Open Internet Order (“Order”), the FCC adopted rules enabling regulated entities to seek advisory opinions from the Enforcement Bureau regarding the application of the Open Internet rules to proposed...more

The CFPB and the Business of Insurance: An Analysis of the Scope of CFPB’s Authority Over Insurance Sales

by Davis Wright Tremaine LLP on

In 2014, the Bureau of Consumer financial Protection (CFPB) issued an enforcement order against a bank and its service provider for allegedly misleading sales of insurance. That order was based on the CFPB’s power to prohibit...more

BSA, AML Failures by West Virginia Bank Yield FDIC, FinCEN, DOJ Actions

Why it matters - In a coordinated effort, the U.S. government identified another “poster child” to demonstrate its continued vigilance and earnestness in pursuing lax BSA/AML procedures and oversight and violations of...more

FinCEN Reasserts its Commitment to Casino Oversight and Enforcement

by McGuireWoods LLP on

In a recent post we described a number of steps taken over the last year by the primary federal regulator for casinos – the Financial Crimes Enforcement Network (FinCEN) – that should cause casino operators to have Title 31...more

Corporate Investigations & White Collar Defense - June 2015

The Unfolding FIFA Scandal: Will the DOJ Show the Banks a Red Card? - Why it matters: The worldwide soccer community has for years decried the brazen corruption that permeated FIFA, international soccer’s governing...more

West Virginia’s Bank of Mingo Pays $4.5 Million for BSA/AML Compliance Program Deficiencies, Showing that Small and Midsize...

A series of recent federal enforcement actions targeting weaknesses in financial institutions’ Bank Secrecy Act/anti–money laundering (BSA/AML) compliance programs continued on June 15, when the Department of Justice (DOJ),...more

FinCEN Enforcement Stacks the Deck in AML Compliance for Casinos and Card Clubs

by Reed Smith on

Stephanie Booker, Associate Director for Enforcement, Financial Crimes Enforcement Network (“FinCEN”), recently gave a speech at the Nevada Bar Association’s Bank Secrecy Act Conference in Las Vegas. Involved in the...more

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Cybersecurity

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