News & Analysis as of

Transparency Cooperation

WilmerHale

Obligations for Deployers, Providers, Importers and Distributors of High-Risk AI Systems in the European Union’s Artificial...

WilmerHale on

In this blog post, we will focus on obligations that the European Union’s Artificial Intelligence Act (AI Act) sets for deployers, providers, importers and distributors regarding high-risk AI systems....more

Holland & Knight LLP

Beneficios colaborativos en casos de soborno transnacional en Colombia

Holland & Knight LLP on

El Decreto 390 de 2024, expedido por el Ministerio de Comercio, Industria y Turismo de Colombia, establece el procedimiento para que la Superintendencia de Sociedades conceda beneficios por colaboración conforme a la Ley 1778...more

Allen Barron, Inc.

IRS Audit Doesnt Have to Be a Nightmare

Allen Barron, Inc. on

An IRS audit doesn’t have to be a nightmare of financial and emotional fear. How do most US taxpayers react when they receive an audit letter from the IRS? What are the actions you can take to not only improve the likelihood...more

Snell & Wilmer

DOJ Incentivizes Voluntary Self-Disclosure of Corporate Criminal Misconduct in Policy Directive to U.S. Attorneys’ Offices...

Snell & Wilmer on

On February 22, 2023, the Department of Justice (“DOJ”) announced that all 93 United States Attorneys’ Offices throughout the country are implementing, effective immediately, a Voluntary Self-Disclosure Policy (“Policy”) for...more

NAVEX

[Webinar] 2021 Top 10 Trends in a New World of Risk & Compliance Priorities - January 14th, 9:00 am - 10:15 am PT

NAVEX on

While hindsight may be 20/20, how can we use this to gain foresight into 2021? The last twelve months have permanently altered the role of risk and compliance—increasing it in scope and elevating the function to a...more

Skadden, Arps, Slate, Meagher & Flom LLP

CFTC Issues New Enforcement Guidance on Cooperation Recognition in Its Orders

On October 29, 2020, the Commodity Futures Trading Commission (CFTC) Division of Enforcement (Division) issued a memorandum (Guidance) providing guidance for Division staff to follow when recommending the recognition of an...more

Skadden, Arps, Slate, Meagher & Flom LLP

DOJ Emphasizes Transparency and Encourages Cooperation

In 2019, the Criminal Division of the U.S. Department of Justice (DOJ) continued its efforts, begun a few years prior, to enhance transparency with respect to the DOJ's prosecutorial decision-making. In public statements, DOJ...more

Dechert LLP

No Reward for Good Behaviour: The Central Bank’s approach to enforcement

Dechert LLP on

On 14 November 2019, the Central Bank of Ireland (the “Central Bank”) launched its Administrative Sanctions Guidance (the “Guidance”), accompanied by a key-note speech by Derville Rowland, the Director General of Financial...more

Katten Muchin Rosenman LLP

FINRA Releases New Guidance on Credit for Extraordinary Cooperation

On July 11, FINRA released Regulatory Notice 19-23 (the Notice),1 which provides welcome details on the ways that firms and individuals can receive credit for extraordinary cooperation in connection with an investigation in...more

Morgan Lewis

FINRA Issues Additional Extraordinary Cooperation Guidance

Morgan Lewis on

Prompted by potential uncertainty regarding the interplay between FINRA Rule 4530(b) (requiring member firms to self-report certain conduct) and FINRA Rule 8210 (obligating those firms to comply with requests for information...more

WilmerHale

FINRA Issues New Guidance on Cooperation

WilmerHale on

On July 11, 2019, the Financial Industry Regulatory Authority (“FINRA”) restated and supplemented prior guidance regarding the circumstances under which FINRA will award credit for “extraordinary cooperation” in...more

King & Spalding

Above and Beyond: FINRA Clarifies Its Approach to Assessing Extraordinary Cooperation

King & Spalding on

FINRA yesterday issued long-anticipated guidance concerning credit for extraordinary cooperation in the context of enforcement investigations. Like its government counterparts, FINRA hopes to incentivize member firms that go...more

Thomas Fox - Compliance Evangelist

When Leslie Caldwell Talks FCPA, You Should Listen

November begins the final push for the compliance conference season, which customarily ends with the ACI National FCPA Conference. During November and into early December, Department of Justice (DOJ) officials have...more

WilmerHale

Foreign Corrupt Practices Act Alert

WilmerHale on

Busy Q1 Yields Several Significant FCPA Resolutions - Overview - On February 19, during the US Securities and Exchange Commission’s (SEC) annual “SEC Speaks” conference, Kara Brockmeyer, Chief of the SEC’s FCPA...more

Dorsey & Whitney LLP

US China Trade War

Dorsey & Whitney LLP on

The October blog post will be broken up into two parts. This October 15th post will comment on the TPP Agreement signed today and well as President Xi Jinping’s recent trip to the US and my impressions from Beijing, China...more

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