Outsourcing Compliance

News & Analysis as of

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - A Source of Concern for the SEC — The Outsourcing by Investment Advisers and Funds of Compliance Activities - In a recent National Exam Program Risk Alert (dated November 9, 2015) the U.S....more

Investment Management Legal + Regulatory Update - November 2015

Regulation - OCIE Cautions Advisers on Outsourcing Compliance Activities: In a Risk Alert dated November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) said it found that outsourced...more

OCIE Issues Risk Alert Relating to Outsourced Chief Compliance Officers

On November 9, 2015, the Office of Compliance Inspections and Examinations (“OCIE”) released the findings of its Outsourced CCO Initiative, which examined nearly 20 investment advisers and investment companies that are...more

OCIE Cautions Advisers About Outsourcing Compliance Activities

In a Risk Alert dated November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) said it found that outsourced compliance programs are generally effective, but some of these arrangements leave room...more

9 Key Provisions of Outsourcing Contracts That Matter

Outsourcing, whether technical or process-centric, has become an increasingly important component of businesses of all sizes. Handing over the complexity of ever-changing systems that require increasing expertise can often...more

FCPA Compliance and Ethics Report-Episode 146-David Simon on Foley's Global Risk Management Platform [Video]

In this episode, I visit with David Simon, a partner at Foley and Lardner. We discuss Foley's recently recently Global Risk Management Platform. ...more

A Better Way Out? Exit Services in Outsourcing

As with any business relationship, the end of an outsourcing can be a difficult time. Happy, trouble-free exits are rare. Emotions often run high, there may be pending legal claims in relation to the termination circumstances...more

Global HR Hot Topic—February 2014: International Outsourcing and Offshoring: An Employment Law Checklist

Belgium's Roger Blanpain, perhaps the world's preeminent professor of international employment law, once declared that "we live in an information society, driven by knowledge in action.…[Services] can be provided via the...more

Outsourcing of AML Compliance: How Far Can A Financial Institution Go?

Several banking giants, such as HSBC and Standard Chartered, are currently being investigated by US regulators for alleged failings in anti-money laundering (AML) compliance. What is the reason for these large banks’...more

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