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Compliance Reporting Requirements

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 -
Stark & Stark

Corporate Transparency Act (CTA): Action Required for Community Associations

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As the end of the year approaches, there has been no determination that community associations will be relieved of the requirement to comply with the Corporate Transparency Act (CTA). While we remain hopeful of a legislative...more

Mayer Brown

UK Government Launches Office of Trade Sanctions Implementation to Enforce UK Trade Sanctions

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On 12 September 2024, the UK Government published the regulatory framework providing the scope and powers of the Office of Trade Sanctions Implementation (OTSI), the authority responsible for the implementation and...more

Fox Rothschild LLP

The Clock Is Ticking on the Corporate Transparency Act's Year-End Deadline

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Have you or your professional advisers evaluated whether any entities you own, manage, or control are subject to the beneficial ownership reporting requirements of the Corporate Transparency Act (CTA)? If you've done so and...more

Polsinelli

Accountancy and the Corporate Transparency Act

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The Corporate Transparency Act (CTA) is a new, federal, legal reporting and compliance regime touching on the ownership and control of covered reporting companies operating in the United States. These reporting companies are...more

Holland & Knight LLP

FinCEN Issues Additional Helpful Guidance on How to Report a Dissolution of a Company

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The U.S. Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) on Sept. 10, 2024, issued four FAQs to update and clarify how reporting should be undertaken for reporting companies that are dissolved prior...more

Society of Corporate Compliance and Ethics...

[Webinar] Trends in Global ESG Regulations and Their Impact on Corporate Reporting - September 18th, 12:00 pm CT

Target Audience - Compliance Professionals with detailed knowledge in an area. Such persons are often at a mid-level within the organization, with operational or supervisory responsibilities, or both....more

Tucker Arensberg, P.C.

A New Federal Reporting Requirement Has Been Established for Non-Financed Transfers of U.S. Residential Real Estate to a Trust or...

Tucker Arensberg, P.C. on

On August 28, 2024, the Financial Crimes Enforcement Network (“FinCEN”) issued its “Anti-Money Laundering Regulations for Residential Real Estate Transfers” (the “Final Rule”), to become effective December 1, 2025. This Final...more

Fenwick & West LLP

New Schedule 13G filing deadlines looming

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New filing deadlines for Schedule 13G become effective on September 30. In October 2023, the SEC adopted new rules governing beneficial ownership reporting, including accelerating the filing deadlines for Schedule 13G and...more

Holland & Knight LLP

Proposed Bill Aims to Resolve CDPAP Controversies and Address Critical Concerns in New York

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A new bill was introduced in the New York State Senate last week in an attempt to address recent changes made to the Consumer Directed Personal Assistance Program (CDPAP), which effective April 1, 2025, will allow only a...more

Venable LLP

Looming Reporting Deadline Under the Corporate Transparency Act: The Reality Sets In

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Over three years ago, Congress enacted the federal Corporate Transparency Act ("CTA"), which for the first time obligates business owners, among others, to file beneficial ownership information ("BOI") reports with the U.S....more

Ogletree, Deakins, Nash, Smoak & Stewart,...

A New Entity Abroad, Part II - Unique Employment Regulations

One of the primary concerns for an organization that wants to start conducting business in a new country must be the laws of the specific country. Employment regulations vary widely around the globe, and some may be so...more

The Volkov Law Group

The Importance of Compliance Independence

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The issue was a professional debate over the reporting relationship between the chief compliance officer (CCO) and the chief legal officer (CLO)/general counsel. After 20 years of debate, CCOs managed to sway the professional...more

Davis Wright Tremaine LLP

California Legislature Sends Bills Regulating AI to the Governor

Last week, the California Legislature passed several bills that, if signed by the governor, will regulate how organizations develop, train, and use artificial intelligence (AI) models, systems, and applications. Of these...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

Preparing for the EU’s Pay Transparency Directive

Pay equity and pay transparency are becoming increasingly important to global organisations. The European Union’s pay transparency directive is a landmark piece of legislation for organisations with employees across the...more

BCLP

Possible Reprieve on Federal PFAS Reporting Under TSCA: US EPA Issues Direct Final Rule Extending TSCA PFAS Reporting Deadlines

BCLP on

Companies subject to the Toxic Substances Control Act (“TSCA”) Section 8(a)(7) Reporting and Recordkeeping Requirements for Perfluoroalkyl and Polyfluoroalkyl Substances (“PFAS”)—also known as the “TSCA PFAS Reporting...more

Hinshaw & Culbertson - Health Care

Don’t Jeopardize Your License: Ensure Compliance With California State Board of Pharmacy Notification and Reporting Obligations

Pharmacies, wholesalers, third-party logistics providers, outsourcing facilities, clinics, and pharmacists must obtain the California State Board of Pharmacy’s (the “Board”) approval or otherwise notify the Board about...more

Dechert LLP

UK EMIR Reporting Changes: Need to Know With Less Than a Month to Go

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2024 is a big year for EMIR reporting. In April 2024, the EU EMIR refit reporting changes took effect. On Monday 30 September 2024, the UK EMIR reporting changes go live. In this article we take a high-level look at the...more

Nilan Johnson Lewis PA

Massachusetts Enacts New Pay Transparency and Reporting Requirements

A newly enacted Massachusetts law—effective July 1, 2025—will require employers with 25 or more employees in the Commonwealth to disclose pay range information in job postings and, in certain circumstances, provide current...more

Mitratech Holdings, Inc

DOJ Unveils Whistleblower Rewards Program: What Every Business Needs to Know

The Department of Justice has launched the Corporate Whistleblower Awards Pilot Program to fight corporate crime. See how it impacts your organization. The U.S. The Department of Justice (DOJ) has just rolled out the...more

Health Care Compliance Association (HCCA)

Beyond surveys: Rethinking traditional approaches to ethical culture assessments

To build a robust ethical culture, ethics and compliance professionals need effective culture assessments to pinpoint vulnerabilities and proactively address them. The U.S. Department of Justice’s (DOJ) update to the...more

Parker Poe Adams & Bernstein LLP

The Corporate Transparency Act: Key Deadline Fast Approaching and Other Recent Updates for Companies

If your business has not yet focused on the Corporate Transparency Act (CTA), it is time to do so. Every entity formed or registered in the U.S. before January 1, 2024, must file beneficial ownership information (BOI) reports...more

Kerr Russell

Don’t Overlook Corporate Transparency Act Compliance

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Question: My accountant and other are telling me there is some federal government filing that I must make by the end of the year. My personal information is being sought. Can you explain what this is all about, whether I have...more

WilmerHale

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

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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

Mandelbaum Barrett PC

Navigating the Corporate Transparency Act: Reporting Requirements and Compliances Strategies for Small Businesses

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On January 1, 2024, the Corporate Transparency Act (the “CTA”) became effective and imposes reporting obligations which impact millions of small businesses across the United States. Although the CTA is currently the subject...more

BCLP

Mandatory Reimbursement for App Fraud: What Payment Service Providers Need to Consider Ahead of Implementation

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The controversial new requirement for all in-scope Payment Service Providers (“PSPs”) to reimburse victims of Authorised Push Payment (“APP”) fraud are due to be introduced from 7 October 2024. This is a significant change...more

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