The Defense Logistics Agency (DLA), is cracking down on procurement fraud and contract fraud. It has recently issued multiple referrals for suspension or debarment, and it is targeting not only prime vendors, but...more
5/21/2025
/ Administrative Procedure Act ,
Compliance ,
Defense Contracts ,
Defense Sector ,
Department of Defense (DOD) ,
Department of Justice (DOJ) ,
Distributors ,
False Claims Act (FCA) ,
Federal Contractors ,
Fraud ,
Government Agencies ,
Manufacturers ,
Risk Management ,
Subcontractors ,
Suspensions & Debarments
The Financial Crimes Enforcement Network (FinCEN) is one of a handful of federal authorities that have adopted whistleblower programs focused on facilitating enforcement in hard-to-target areas. While FinCEN focuses its...more
5/13/2025
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Compliance ,
Corporate Misconduct ,
Economic Sanctions ,
Financial Crimes ,
FinCEN ,
Government Agencies ,
Office of Foreign Assets Control (OFAC) ,
Popular ,
Reporting Requirements ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
Regulation A+ has emerged as a powerful tool for companies seeking to raise capital from both accredited and non-accredited investors. This Regulation A+ Offerings Guide provides a comprehensive overview of Regulation A+,...more
3/25/2025
/ Capital Markets ,
Capital Raising ,
Compliance ,
Disclosure Requirements ,
Initial Public Offering (IPO) ,
Investors ,
Regulation A ,
Regulation D ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Startups
Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an exemption for certain...more
3/18/2025
/ Capital Markets ,
Capital Raising ,
Compliance ,
Crowdfunding ,
Disclosure Requirements ,
Financial Services Industry ,
Investor Protection ,
Regulation CF ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Small Business
For companies seeking to raise capital without the complexities and costs of a public offering, Regulation D under the Securities Act provides a valuable exemption from SEC registration. This allows for private placements,...more
3/11/2025
/ Accredited Investors ,
Capital Markets ,
Compliance ,
Financial Markets ,
Investment Funds ,
Investment Management ,
Private Equity ,
Public Offerings ,
Regulation D ,
Rule 504 ,
Rule 506(c) ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Financial institutions need to remain vigilant about managing anti-money laundering and Bank Secrecy Act (AML/BSA) compliance in 2025. As the financial ecosystem becomes increasingly complex, and as transactions increasingly...more
When it comes to raising capital for your business, private placements offer a compelling alternative to traditional methods like bank loans or venture capital. However, navigating the intricate legal landscape of securities...more
As a U.S. taxpayer, one of the last things that you want to hear is that the Internal Revenue Service (IRS) has disagreed with your tax assessment and has imposed penalties for noncompliance. The good news is that the IRS...more
The U.S. Environmental Protection Agency (EPA) expects companies to self-police their environmental compliance efforts. While the EPA regularly conducts inspections focused on assessing environmental compliance, it also...more
8/21/2024
/ Audits ,
CERCLA ,
Clean Water Act ,
Compliance ,
Compliance Monitoring ,
Environmental Policies ,
Environmental Protection Agency (EPA) ,
Environmental Violations ,
EPCRA ,
FIFRA ,
RCRA ,
Risk Assessment ,
Risk Mitigation ,
Safe Drinking Water Act ,
Toxic Substances Control Act (TSCA)
The United States Environmental Protection Agency (EPA) has long conducted inspections to assess the efficacy of companies’ environmental compliance programs. However, under the EPA’s Climate Enforcement and Compliance...more
The U.S. Environmental Protection Agency (EPA) is responsible for enforcing the federal laws, regulations, and Executive Orders focused on protecting the environment for the benefit of the American people, threatened and...more
7/17/2024
/ Compliance ,
Defense Strategies ,
Discovery ,
Document Review ,
Enforcement Actions ,
Enforcement Priorities ,
Environmental Policies ,
Environmental Protection Agency (EPA) ,
Environmental Violations ,
Evidence ,
Investigations ,
Litigation Strategies ,
NPDES ,
Penalties ,
Risk Mitigation
Companies in a wide range of industries are subject to the oversight of the United States Environmental Protection Agency (EPA). The EPA enforces numerous environmental laws, environmental regulations, and executive orders to...more
6/11/2024
/ CERCLA ,
Clean Air Act ,
Clean Water Act ,
Compliance ,
Endangered Species Act (ESA) ,
Enforcement ,
Environmental Policies ,
Environmental Protection Agency (EPA) ,
FIFRA ,
FQPA ,
NPDES ,
RCRA ,
Regulatory Requirements ,
Risk Mitigation ,
Safe Drinking Water Act ,
Toxic Substances Control Act (TSCA)
All healthcare providers and other businesses in the healthcare industry need to comply with the Anti-Kickback Statute (AKS). The AKS imposes criminal penalties for knowing and willful violations, and even inadvertent...more
The federal Corporate Transparency Act (CTA), formed under the National Defense Authorization Act, establishes new disclosure obligations for millions of companies operating in the United States and abroad including...more
The Committee on Foreign Investment in the United States (CFIUS) is an interagency committee that reviews foreign investments in U.S. businesses and real estate assets. The primary purpose of a CFIUS review is to examine any...more
For foreign entities that need approval from the Committee on Foreign Investment in the United States (CFIUS) to pursue investments in the U.S., working with experienced legal counsel is essential. While CFIUS will approve...more
Over the holidays, the U.S. Department of Defense (DoD) issued proposed rules for updating its Cybersecurity Maturity Model Certification (CMMC) program from its existing Defense Acquisition Regulatory Supplement (DFARS)...more
2/23/2024
/ Compliance ,
Controlled Unclassified Information (CUI) ,
Cybersecurity ,
Department of Defense (DOD) ,
DFARS ,
Enforcement ,
False Claims Act (FCA) ,
Federal Acquisition Regulations (FAR) ,
Federal Contractors ,
NIST ,
Risk Assessment
Companies that produce and discharge pollutants are subject to U.S. Environmental Protection Agency (EPA) oversight under the Clean Water Act. The EPA routinely conducts inspections focused on federal laws like Oil Pollution...more
1/26/2024
/ Clean Water Act ,
Compliance ,
Discharge of Pollutants ,
Environmental Policies ,
Environmental Protection Agency (EPA) ,
NPDES ,
Regulatory Standards ,
Waste Management ,
Wastewater ,
Water ,
Wetlands
Promoting securities, cryptocurrency, and other investment opportunities is fraught with legal risks. Individuals who engage in promotional activities must ensure that they have a clear understanding of the federal laws and...more
12/13/2023
/ Advertising ,
Brokers ,
Celebrities ,
Compliance ,
Criminal Prosecution ,
Cryptoassets ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Endorsements ,
Financial Industry Regulatory Authority (FINRA) ,
Investment ,
Marketing ,
Regulatory Standards ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Stock Promoters
Financial institutions and companies that are subject to oversight from the Office of Foreign Assets Control (OFAC) need to prioritize compliance. OFAC has become increasingly active in recent years, and it is devoting...more
9/20/2023
/ Compliance ,
Compliance Commitees ,
Compliance Monitoring ,
Cross-Border Transactions ,
Documentation ,
Economic Sanctions ,
Enforcement Actions ,
Financial Institutions ,
Financial Transactions ,
National Security ,
Office of Foreign Assets Control (OFAC) ,
Policies and Procedures ,
Prohibited Transactions ,
Risk Assessment ,
Sanction Violations
For financial institutions and businesses that are subject to the oversight of the Office of Foreign Assets Control (OFAC), compliance needs to be a priority in 2023. OFAC is playing an increasingly active role in overseeing...more
9/8/2023
/ Blocked Entities ,
Compliance ,
Customer Due Diligence (CDD) ,
Economic Sanctions ,
Enforcement Actions ,
Exports ,
Financial Institutions ,
Financial Transactions ,
Foreign Entities ,
Foreign Policy ,
National Security ,
Office of Foreign Assets Control (OFAC) ,
Personal Liability ,
Policies and Procedures ,
Prohibited Transactions ,
Risk Mitigation ,
Sanction Violations ,
SDN List ,
SSI List
Find Out What Companies and Investment Firms Need to Know about the SEC’s Exam Priorities for 2023 -
Each year, the U.S. Securities and Exchange Commission (SEC) publishes its annual examination priorities. This report...more
12/20/2022
/ Broker-Dealer ,
Compliance ,
Conflicts of Interest ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Disclosure Requirements ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Fraud ,
Insider Trading ,
Investment Firms ,
Private Funds ,
Registered Investment Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Whistleblowers
Many businesses and businesspeople are exposed to potential legal liability for a wide variety of financial crimes. Minimizing financial crime risk or exposure is critical and requires strict compliance with the state and...more
11/1/2022
/ Bank Fraud ,
Banking Sector ,
Compliance ,
Embezzlement ,
Financial Crimes ,
Financial Institutions ,
Financial Services Industry ,
Insider Trading ,
Investment Fraud ,
Mail Fraud ,
Money Laundering ,
Risk Assessment ,
Risk Management ,
Securities Fraud ,
Tax Fraud ,
Theft ,
Wire Fraud
The United States Department of Justice (DOJ) is the federal agency tasked with enforcing a wide range of federal laws and regulations. When the DOJ suspects that an individual or business has violated a federal law or...more
The tragedy of the COVID-19 pandemic is something we all agree we wish we could have avoided. However, the fact of the matter is that many respiratory and clinical labs have seen a boon to their bottom line due to the...more
8/10/2021
/ Chief Compliance Officers ,
Clinical Laboratories ,
Clinical Laboratory Testing ,
Compliance ,
Compliance Monitoring ,
Coronavirus/COVID-19 ,
Department of Health and Human Services (HHS) ,
Infectious Diseases ,
OIG ,
Policies and Procedures ,
Regulatory Requirements ,
Virus Testing