Compliance New Regulations

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

Agencies Issue Final Regulations on the Summary of Benefits and Coverage (SBC) Requirements

As promised in the FAQ issued on March 30, 2015, the U.S. Departments of the Treasury, Labor and Health and Human Services (the Departments) have issued final regulations regarding the summary of benefits and coverage (SBC)...more

New York BitLicense Regulations Virtually Certain to Significantly Impact Transactions in Virtual Currencies

The New York State Department of Financial Services (NYDFS) recently issued its final BitLicense regulations with respect to Bitcoin and other virtual currencies. The new regulations require the licensing of, and establish...more

Deadline For Compliance With New California Industrial General Permit For Stormwater Is A Week Away (July 1, 2015)

On July 1, 2015, the new California Industrial General Permit for Stormwater (General Permit) will take effect and along with it come a host of new compliance obligations. Chief among those obligations is the completion and...more

IVASS Regulation no 8 of 3 March 2015 - Simplification of procedures

A few days ago, IVASS issued Regulation no. 8 of 3 March 2015 describing the simplified procedures and compliance obligations applying to relationships between enterprises, intermediaries and clients. The document...more

Human Trafficking and Government Procurement: New Requirements for U.S. Federal Contractors

On January 29, the U.S. Government released a final rule establishing new anti-human trafficking requirements for U.S. government contractors. The rule amends the Federal Acquisition Regulation (“FAR”) and seeks to strengthen...more

FCPA Compliance and Ethics Report-Episode 56-Interview with Carlos Ayers [Video]

In this episode I visit with Carlos Ayers, noted author and compliance attorney from Sao Paulo who talks about the new Brazilian anti-corruption law and what companies need to expect to comply with it. ...more

The Fines They Are A-Changin’: New Regulations Herald Increased Fines For California Hospitals

As of April 1, 2014, California hospitals are subject to a significantly increased risk of being fined when state authorities find deficiencies in their compliance with licensing requirements and other health care-related...more

FINRA Requests Comment on Rules Regarding Communications with the Public and Gifts, Gratuities and Non-Cash Compensation

The Financial Industry Regulatory Authority (FINRA) has issued Regulatory Notice 14-14 and Regulatory Notice 14-15 announcing that it will initiate a review of certain of its rules to ensure that its rules remain relevant and...more

U.S. Basel III Final Rule and its Impact on the Securitization Framework

The three U.S. federal banking agencies (the “Agencies”) have adopted a final rule (the “Rule”) that implements the Basel III regulatory capital framework and comprehensively revises the regulatory capital requirements for...more

Revised Disclosure Rules for Resources Companies: Time to Transition

Listed mining and oil & gas companies have less than three months remaining to prepare for compliance with the new Chapter 5 of the Listing Rules. The enhanced reporting regime will be enforced from 1 December 2013....more

Obligations Under European Market Infrastructure Regulation Imminent

With certain EMIR provisions set to go live in September, both EU counterparties and many non-EU counterparties must take action to comply with risk management requirements, which involve some overlap with Dodd-Frank....more

California Adopts Nationally Ground-Breaking Safer Consumer Product Regulations

California's Green Chemistry Initiative blazes a new trail for consumer products in the United States, establishing a comprehensive approach aimed at reducing — over time — exposures to hazardous chemicals commonly found in a...more

Life Sciences Spotlight | Issue 3, 2013

IN THIS ISSUE: - FEATURES: - A new wave of regulatory enforcement actions in China – Are we witnessing a prolonged enforcement cycle? - Update on recent decisions - Australia’s innovation patent – The...more

New TCPA Changes Going into Effect Soon – What They Mean

On October 16, 2013, two changes will go into effect in the rules implementing the federal Telephone Consumer Protection Act (TCPA). Importantly, these rules impose stricter requirements on mobile messaging and prerecorded...more

CFPB updates remittance rule small business guide and makes “clarificatory” amendment and technical correction to rule

The CFPB has updated its small business guide on the remittance transfer rule to reflect the changes to the rule that were made this past May dealing with the scope of the error resolution procedures, disclosure of recipient...more

SEC Adopts Changes to Broker-Dealer Net Capital and Financial Responsibility Rules

The US Securities and Exchange Commission recently adopted important changes to the financial responsibility rules for securities broker-dealers, including changes to the regulatory capital and regulatory reporting rules. The...more

SEC Delays Effectiveness of Large Trader Reporting for Some Broker-Dealers

The SEC’s “large trader” rules that apply to clearing firms and certain other firms will kick in this November. Thanks to a recent SEC release, some firms are getting a two-year compliance reprieve, but they must develop the...more

FINRA Issues FAQs Regarding TRACE Reporting

The Financial Industry Regulatory Authority has issued a trade reporting notice that addresses several issues in connection with reporting transactions to the Trade Reporting and Compliance Engine (TRACE) system involving...more

Do Your Confidentiality Policies Pass NLRB's Expanding Standards?

The National Labor Relations Board, the agency that enforces federal labor law, continues to challenge employer policies that seek to impose confidentiality constraints on employees....more

Lessons Learned From The Morgan Keegan Case, Part I – Valuation

The U.S. Securities and Exchange Commission (SEC)’s recent settlement in the latest chapter of the enforcement proceeding involving Morgan Keegan provides important guideposts on two of the hottest regulatory topics in the...more

CFPB Continues to Finalize Elements of “Points and Fees” Test as Implementation Date Draws Closer

The CFPB’s final ability-to-repay rule (Rule), issued January 10, 2013, implements Dodd-Frank mortgage reforms requiring creditors to make good faith determination that a consumer has reasonable ability to repay his or her...more

Il Sistema Dei Controlli Interni Nelle Banche Secondo Le Nuove Disposizioni Di Vigilanza Prudenziale

Con l’aggiornamento n. 15 della Circolare n. 263 del 27 dicembre 2006, datato 2 luglio 2013, la Banca d’Italia ha provveduto ad aggiornare le disposizioni di vigilanza prudenziale per le banche, inserendo nel Titolo V, tra...more

Exchange - International Newsletter - Issue 19 – July 2013

DLA Piper’s Financial Services International Regulatory team welcomes you to the nineteenth edition of ‘Exchange – International’, an international newsletter designed to keep you informed of regulatory developments in the...more

Action Items for Employers: Notice to Employees of Health Insurance Marketplace & Related Updates to COBRA Election Notices

As we have alerted you in the past, health care reform enacted in 2010 under the Patient Protection and Affordable Care Act (referred to herein as “PPACA”) has imposed new obligations on employers and group health plans. One...more

Thailand - New Law Regulating Investment In Other Business Of Insurance Companies

The current regulations governing the investments of insurance companies are (i) the Notification of the Ministry of Commerce Re: Investment in other business by insurance companies B.E. 2547 (2004) and its amendments, and...more

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