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Compliance

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. ... 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 -
Harris Beach Murtha

Federal Investigation Puts NY Medicaid Providers Under Spotlight Amid Fraud Allegations

Harris Beach Murtha on

New York’s Medicaid program, a health care program that covers more than a third of all New Yorkers, is under the federal microscope after the leader of the Center for Medicaid Services sent a letter to Gov. Kathy Hochul...more

Husch Blackwell LLP

What HHS’s Major Restructuring Means for Healthcare Privacy: Key Insights from Husch Blackwell

Husch Blackwell LLP on

On March 27, 2025, the U.S. Department of Health and Human Services (HHS) announced a sweeping reorganization under the Department of Government Efficiency Workforce Optimization Initiative. The plan consolidates 28 divisions...more

Morgan Lewis

SEC and FINRA Enforcement Trends for Broker-Dealers: 2025-2026

Morgan Lewis on

In 2025, the US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) experienced significant leadership changes, staffing departures, and a renewed “back to basics” emphasis on...more

Paul Hastings LLP

Website Tracking Technologies Under Scrutiny: A New Liability Frontier Under the DOJ Bulk Data Transfer Rule

Paul Hastings LLP on

Even though the DOJ Bulk Data Transfer Rule does not contain a private right of action, plaintiffs continue to look for new ways to bring claims against companies for alleged violations of the Rule. A recently filed complaint...more

Hanzo

An Overview of FINRA Rule 3110

Hanzo on

The Financial Industry Regulatory Authority (FINRA) is an organization that enforces the Securities and Exchange Commission’s (SEC) regulatory requirements. Gaining an overview of FINRA Rule 3110 is critical if your...more

McCarter & English Blog: Government Contracts...

Orbiting A.I.-deraan? A Disturbance in the Force for the Defense Industrial Base

McCarter & English Blog: Government Contracts... on

“I felt a great disturbance in the Force, as if millions of voices suddenly cried out in terror and were suddenly silenced.” When Obi-Wan Kenobi says this in Star Wars: Episode IV – A New Hope, he senses that something...more

Klein Moynihan Turco LLP

Take CCPA Opt-Outs Seriously!

Klein Moynihan Turco LLP on

California’s consumer data privacy law affords consumers the right to prevent companies from selling and sharing their personal information. The California Privacy Protection Agency (“CPPA”) is charged with enforcing the...more

Kerr Russell

Practical Steps Employers Should Take to Avoid FTC Enforcement Action of Non-Competes

Kerr Russell on

It is rare for the Trump Administration to publicly agree with the enforcement decisions made by the Biden Administration, but that is exactly what happened in late January at the FTC’s workshop highlighting enforcement...more

NAVEX

Signals Show Heightened Stress on Workplace Cultures

NAVEX on

Why civility, retaliation fears and imminent threats reveal the cultural risks compliance must address in 2026 - The health of workplace culture is often measured by how employees choose to raise concerns and whether they...more

Morrison & Foerster LLP

March 2026 Investment Adviser Compliance Checklist

Morrison & Foerster LLP on

The Investment Advisers Act of 1940 (the “Advisers Act”) is a relatively compact statute, and for many years the U.S. Securities and Exchange Commission (SEC) adopted relatively few regulations specifically targeting Advisers...more

Morgan Lewis

SEC Grants Exemptive Relief from Section 16(a) Reporting to Officers and Directors of Certain FPIs

Morgan Lewis on

Following the adoption of final rules to require officers and directors of foreign private issuers to comply with Section 16(a) reporting, the US Securities and Exchange Commission has issued an exemptive order granting...more

Morgan Lewis

FINRA Raises Gifts Rule Limit to $300, But Lower Limits Still Apply Under Other Rules

Morgan Lewis on

On February 12, 2026, the US Securities and Exchange Commission approved FINRA’s proposed amendment to FINRA Rule 3220 (the Gifts Rule), increasing the annual gift limit from $100 to $300 per recipient. The amendment will...more

Morgan Lewis

ACI’s 2026 EPR Think Tank Conference Highlights Compliance Challenges for Companies

Morgan Lewis on

ACI’s 2026 Extended Producer Responsibility (EPR) Think Tank conference brought together stakeholders from regulated companies, industry groups, government, producer responsibility organizations (PROs), outside counsel, and...more

Hogan Lovells

Banks’ and EMIs’ new information and account direct deduction obligations under UK Public Authorities (Fraud, Error and Recovery)...

Hogan Lovells on

A Department for Work and Pensions (DWP) consultation on draft Codes of Practice (COPs) on the issuing of information notices and direct deduction orders (DDOs), eligibility verification notices (EVNs), and information...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Asbestos Enforcement: Alabama Department of Environmental Management and Baldwin County Structure Demolition Site Enter into...

Mitchell, Williams, Selig, Gates & Woodyard,... on

The Alabama Department of Environmental Management (“ADEQ”) issued a January 21st Proposed Administrative Order (“PAO”) to Hercules Investments, L.L.C. (“HI”) addressing alleged violations of the Alabama Asbestos Regulations....more

Holland & Knight LLP

GSA's New CUI Requirements: What Government Contractors Need to Know

Holland & Knight LLP on

The U.S. General Services Administration (GSA) on January 5, 2026, quietly introduced a new cybersecurity compliance framework that will significantly reshape the information technology (IT) obligations of thousands of...more

Perkins Coie

Navigating the Growing Landscape of State AI Employment Bills and Laws: What Employers Need To Know

Perkins Coie on

California continues to expand regulations over AI in employment decision-making—a hot-button topic across states that employers should monitor closely....more

EDRM - Electronic Discovery Reference Model

Illumination Zone: Episode 227 | Michael Cammack and Stephanie Wienke of HaystackID sit down with Mary Mack and Holley Robinson

EDRM - Electronic Discovery Reference Model on

Michael Cammack, Deputy Information Security Officer, and Stephanie Wienke, Security Specialist for EDRM Trusted Partner HaystackID, sit down with Mary Mack and Holley Robinson. In this episode, Michael and Stephanie recount...more

Rivkin Radler LLP

OIG Issues New Compliance Guidance for Medicare Advantage

Rivkin Radler LLP on

Last month, the U.S. Department of Health and Human Services’ Office of Inspector General (“OIG”) published Medicare Advantage Industry Segment-Specific Compliance Program Guidance (“Guidance”). OIG described the Guidance as...more

Hogan Lovells

EU Cyber Resilience Act: European Commission publishes draft guidance

Hogan Lovells on

With only months to go until the first set of obligations under the EU Cyber Resilience Act (“CRA”) become applicable, the Commission has published on 3 March 2026 its first draft guidance intended to assist economic...more

Foley & Lardner LLP

FERC Reaffirms Strict Recertification Timing Requirement for QFs: Lessons for Transaction Teams

Foley & Lardner LLP on

The Federal Energy Regulatory Commission recently reaffirmed a June 2025 decision requiring seven small power producers (the “Companies”) to pay refunds for wholesale power sales made during periods when they could not “rely...more

Proskauer Rose LLP

Brasil — Alterações Recentes na Prática de Acordos de Leniência

Proskauer Rose LLP on

Em 23 de dezembro de 2025, a Controladoria-Geral da União (“CGU”), em conjunto com a Advocacia-Geral da União (“AGU”), publicou a Portaria Normativa Interministerial CGU/AGU Nº 1 para reformar o regime aplicável à negociação,...more

Morgan Lewis

SEC Adopts Final Rules Requiring Section 16(a) Reporting by Foreign Private Issuer Executive Officers and Directors

Morgan Lewis on

The US Securities and Exchange Commission adopted final rules on February 27, 2026 to implement the Holding Foreign Insiders Accountable Act and conform its rules and forms within the statutory guidelines established by...more

Hogan Lovells

ESMA publishes Supervisory Briefing on algorithmic trading under MiFID II: What firms need to know

Hogan Lovells on

On 26 February 2026, the European Securities and Markets Authority (ESMA) published a new supervisory briefing on algorithmic trading. It aims to provide guidance to both regulators and investment firms on the supervision of...more

Jackson Lewis P.C.

Schools Face ‘Significant Penalties’ as NCAA Focuses on Transfer Process Tampering

Jackson Lewis P.C. on

Reports of the NCAA circulating a memo to institutions reminding them of the restrictions on unauthorized contact with student-athletes in the tampering bylaw and warning of significant penalties for violations started a week...more

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