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Audits Training Requirements

Dorsey & Whitney LLP

DOJ Antitrust Division Issues Updated Guidance on Evaluating Corporate Compliance Programs

Dorsey & Whitney LLP on

In recently released updated guidance, the Antitrust Division (“Antitrust Division”) of the U.S. Department of Justice (“DOJ”) outlined how its prosecutors will assess corporate compliance programs when conducting criminal...more

Hinch Newman LLP

What Telemarketers and Lead Generators Need to Know About the FTC’s TSR Recordkeeping Rules

Hinch Newman LLP on

As blogged about recently, on March 7, 2024, the Federal Trade Commission announced a final rule extending telemarketing fraud protections to businesses and updating the Telemarketing Sales Rule’s recordkeeping requirements. ...more

Wiley Rein LLP

California Eyes New Privacy, Cyber, and AI Obligations

Wiley Rein LLP on

California continues to forge ahead on potential new privacy, cybersecurity, and artificial intelligence (AI) obligations, including through its California Consumer Privacy Act (CCPA) rulemaking process and by launching a new...more

Society of Corporate Compliance and Ethics...

[Event] March Basic Compliance & Ethics Academy - March 2nd - 5th, San Diego, CA

Our Basic Academies are ideal for professionals with some compliance knowledge and experience who are ready to support, enhance and manage a comprehensive compliance program. They are taught by compliance professionals,...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - January 13th - 16th, Lake Buena Vista, FL

Our Basic Academies are ideal for professionals with some compliance knowledge and experience who are ready to support, enhance and manage a comprehensive compliance program. They are taught by compliance professionals,...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - February 9th - 12th, Dubai, UAE

Global companies need to have an effective compliance program wherever they operate. But until recently, it's been difficult to provide compliance leaders outside the U.S. with the training they need. SCCE's International...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - December 16th - 19th, Nashville, TN

Our Basic Academies are ideal for professionals with some compliance knowledge and experience who are ready to support, enhance and manage a comprehensive compliance program. They are taught by compliance professionals,...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - December 2nd - 5th, Houston , TX

Our Basic Academies are ideal for professionals with some compliance knowledge and experience who are ready to support, enhance and manage a comprehensive compliance program. They are taught by compliance professionals,...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy Buenos Aires - November 11th-14th, Buenos Aires, Argentina

Global companies need to have an effective compliance program wherever they operate. But until recently, it's been difficult to provide compliance leaders outside the U.S. with the training they need. SCCE's International...more

Foley Hoag LLP

NFA Amends Interpretive Notice Regarding NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401

Foley Hoag LLP on

Proficiency Requirements for Security Futures Products - The term security futures product (“SFP”) encompasses security futures and options on security futures. The term security future includes both futures on a single...more

King & Spalding

FinCEN Proposes New Anti-Money Laundering Rule For Investment Advisers

King & Spalding on

On August 25, the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) released a Notice of Proposed Rulemaking (NPRM), which would impose anti-money laundering (AML), suspicious activity reporting,...more

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