Compliance European Union

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 -
News & Analysis as of

A Compilation of Enforcement and Non-Enforcement Actions

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

The Fourth European Union Anti-Money Laundering Directive and Its Effects on Financial Institutions Operating in the EU

The Fourth European Union Anti-Money Laundering Directive (Fourth AML Directive), approved by the European Parliament on May 20, 2015, went into effect on June 25, 2015, repealing the 2005 Third AML Directive. Given the...more

EBA Final Guidelines on Passport Notifications for Mortgage Credit Intermediaries

On August 11, 2015, the European Banking Authority (EBA) published its final guidelines (EBA/GL/2015/19) on passport notifications for mortgage credit intermediaries under the Mortgage Credit Directive (2014/17/EU) (MCD). The...more

Dodd-Frank at 4: Where do we go from here?

Where do we go from here? As we mark another milestone in regulatory reform with the fourth anniversary of the enactment of the Dodd-Frank Act, it strikes us that although most studies required to be undertaken by the Act...more

E-Discovery: If you can’t take the data to the tools, take the tools to the data

Today we welcome Jo Sherman, CEO, EDT Inc. to share some of her thoughts on the challenge of international investigations and data collection/analysis. Given the challenges of discovery and data collection across borders in...more

Iranian Nuclear Accord Reached, But Specific Implementation of Meaningful Sanctions Relief Will Not Be Immediate

On July 14, 2015, the “P5+1” nations (the United States, China, France, Germany, Russia, and the United Kingdom), together with the European Union and the Islamic Republic of Iran (“Iran”), reached a Joint Comprehensive Plan...more

Impact of Iran Accord on International Business - Briefing the "C" Suite on the Joint Comprehensive Plan of Action with Iran

On July 14, 2015, the United States, France, China, Russia, the United Kingdom, Germany and the European Union (EU) entered into the Joint Comprehensive Plan of Action (JCPOA) with Iran after years of difficult negotiations....more

Your Questions: The Role of the CCO - A Q&A Session About the Evolving Role of the Chief Compliance Officer

Last year we gathered Robert Chersi, Executive Director, Center for Global Governance, Reporting and Regulation at Pace University; Seth Rice, Assistant General Counsel – Compliance & Director of Global Ethics and Compliance...more

Under scrutiny: Internal investigations - Internal investigations are becoming increasingly commonplace, but how do you cope when...

There has been a sustained rise in investigations and enforcement actions taken by regulatory authorities in the wake of the financial crisis. As companies try to get back on track, internal investigations have also become...more

FCPA Compliance and Ethics Report-Episode 174-Matt Kelly on Dodd-Frank, Uber and Upcoming Compliance Week events [Video]

In this episode I visit with Compliance Week Editor Matt Kelly on how Dodd-Frank is working and affecting financial services, Uber and the recent ruling from the California Labor Board finding one Uber driver an employee and...more

Conflict Minerals: European Parliament Endorses New Compliance Requirements

It has been nearly a month since the deadline for companies in the United States to file their second annual conflict minerals reports with the Securities and Exchange Commission. As companies and their stakeholders assess...more

Whistleblowing: An Employer’s Guide To Global Compliance

In This Issue: - Foreword - A Summary Across Five Continents - Law and Sanctions - The Legislative Framework: Whistleblower Protections Across the Globe - Global Differences: The Cultural...more

EU Data Privacy Updates

A brief rundown of developments in recent weeks in the area of EU data protection law: - EU Data Protection Regulation - On Monday, June 15, the EU Council (comprised, for purposes of data protection reform, of...more

[Webinar] How EU Companies Can Implement & Demonstrate Effective Anti Bribery Compliance in Emerging Markets - July 9, 9:00 am EST

European companies subject to FCPA jurisdiction or comparable European jurisdictions, and doing business in emerging markets such as the BRIC nations, face a rigorous compliance standard. Firms must have compliance processes...more

EU/Swiss-U.S. Safe Harbor: More Scrutiny by the FTC?

On May 29, 2015, the Federal Trade Commission ("FTC") announced the approval of the final orders for two U.S. companies, TES Franchising, LLC ("TES") and American International Mailing, Inc. ("AIM"), settling complaints that...more

MiFID II: The Next Big Challenge - Key Issues for Asset Managers

Background - The Markets in Financial Instruments Directive (“MiFID II”) and the related Regulation (“MiFIR”) is the next big rewrite of EU legislation, due to take effect at the beginning of 2017. Although its greatest...more

The Compliance Function Under MiFID 2

Previous articles in our MiFID 2 series have considered the effects of MiFID 2 on dealings with customers, and on transparency. This third article, by Christina Pope and Emma Radmore, looks at how MiFID 2 will affect how...more

Antitrust Update: The Aggressive Global Enforcement Network

Companies face lots of risks – the soup du jour has been anti-corruption enforcement and compliance. Like any consistent restaurant you might visit regularly, one risk continues to grow, quietly and significantly –...more

Federal Trade Commission Targets Organizations with Expired U.S.-EU Safe Harbor Certifications

Organizations in the United States that certify to the U.S.-EU Safe Harbor Framework to transfer and receive personal data about residents of the European Union must annually reaffirm to the U.S. Department of Commerce that...more

Shining a Light on Payments to Governments: The Current State of “Publish What You Pay” Rulemaking Around the World

Over the last few years, a number of key jurisdictions have adopted regulations requiring companies engaged in natural resource extraction activities to disclose the payments they make to governments and state-owned...more

Kyiv Corporate Alert (Ukrainian) On Amendments to Some Legislative Acts of Ukraine relating to Investors’ Rights Protection

Президент України підписав закон № 289-VIII...more

Kyiv Corporate Alert On Amendments to Some Legislative Acts of Ukraine relating to Investors’ Rights Protection

The President of Ukraine has signed Law No. 289-VIII “On Amendments to Some Legislative Acts of Ukraine relating to Investors’ Rights Protection” (the “Law”) aimed at deregulating the economic activities of joint-stock...more

The Financial Report - Volume 4, No. 9 • May 2015 (Global)

Discussion and Analysis - Securities and investment advisory services offered through . . . That phrase is ubiquitous among small and “independent” financial services firms, regularly appearing in 6-point or...more

Seventh Circuit Affirms Dismissal of EU 261 Claims - Direct Claims Under EU 261 Are Only Actionable in EU Member States

The ruling by the U.S. Court of Appeals for the Seventh Circuit in Volodarskiy v. Delta Airlines, Inc. follows numerous District Court opinions holding that EU 261 does not provide a right of action enforceable outside the EU...more

[Webinar] Compliance with EU Data Protection for US Companies - April 29, 1:00-2:00 EDT

This webinar, the fourth in our Privacy Series, will consider issues faced by US companies who do business in Europe or simply interact with European customers. We will look at how to determine whether EU data protection laws...more

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