News & Analysis as of

Enforcement Actions Guidance Update

Conyers

Economic Substance Enforcement Regime Overview - Applicable to Insurance Entities

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It has now been over a year since the updated Enforcement Guidelines: Economic Substance (the “Guidelines”) were issued on 31 March 2023, outlining the enforcement powers and processes of the Cayman Islands Tax Information...more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - December 2024

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

Davis Wright Tremaine LLP

Banking and Consumer Regulatory Digest - November 2023

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

Davis Wright Tremaine LLP

Banking and Consumer Regulatory Digest - September 2023

Editor's Note The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically...more

Perkins Coie

DOJ Announces Pilot Program and Updated Expectations on Corporate Compensation Programs

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The U.S. Department of Justice (DOJ) on March 3, 2023, unveiled a new pilot program and announced several important updates to its Evaluation of Corporate Compliance Programs (ECCP) regarding corporate compensation incentives...more

ArentFox Schiff

340B “Saga” Works Its Way Through the Courts: What Manufacturers Need to Know

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A handful of recent court decisions have brought a small degree of resolution and simultaneously a large degree of uncertainty to what we at Arent Fox affectionately refer to as the “340B Saga.” It’s a dispute lasting...more

Fenwick & West LLP

FTC Issues Notice of Penalty Offenses for Endorsement and Testimonial Marketing

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On October 13, 2021, the Federal Trade Commission (FTC) sent a Notice of Penalty Offenses to more than 700 businesses, including top consumer brands, retailers, e-commerce platforms and advertising agencies, regarding...more

Perkins Coie

OFAC Issues Second Ransomware Advisory and Designates Virtual Currency Exchange for Sanctions

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Agency’s Focus on Cryptocurrency and Blockchain Continues - On September 21, 2021, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) released an updated advisory to “highlight the sanctions...more

Fenwick & West LLP

OFAC Helps Those Who Help Themselves: How a Ransomware Response Plan Can Help Avoid Sanctions Enforcement for Ransom Payments

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Many companies have a “no ransomware payment” stance until faced with a ransomware attack, especially an attack that causes significant business disruption. At that point, the company may reconsider its stance (or at least...more

Bradley Arant Boult Cummings LLP

Yes, We’re Still Talking About COVID-19: OSHA Updates Guidance for Workplaces

Recently OSHA updated its guidance on Mitigating and Preventing the Spread of COVID-19 in the Workplace for employers who are not covered by the “COVID-19 Emergency Temporary Standard for Healthcare.” As we explained before,...more

Society of Corporate Compliance and Ethics...

[Virtual Event] 2021 Atlanta Regional Compliance & Ethics Conference - August 13th, 8:25 am - 4:30 pm EDT

Our Virtual Regional Compliance Conferences provide updates on the latest news in regulatory requirements, compliance enforcement, and strategies to develop effective compliance programs. Watch, listen, and ask questions from...more

Goodwin

CFPB Revokes 2020 Statement of Policy Regarding Prohibition on Abusive Acts or Practices

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In this Issue. The Consumer Financial Protection Bureau (CFPB) announced the rescission of its 2020 Statement of Policy Regarding Prohibition on Abusive Acts or Practices, possibly signaling an increase in enforcement...more

Goodwin

SEC Issues No-Action Relief On Registered Funds’ Custody Of Loan Interests

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In this Issue. The U.S. Securities and Exchange Commission (SEC) was very active this week, having (i) issued no-action relief allowing registered funds to engage in self-custody of interests in loans that are originated,...more

Latham & Watkins LLP

Are Changes in Store for US White Collar Enforcement?

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Recent developments include updated DOJ compliance guidance, a continued rise in FCPA proceedings and penalties, and new investigatory approaches in light of the pandemic. 2020 saw many important developments in US white...more

Health Care Compliance Association (HCCA)

[Virtual Event] 2021 Regional Healthcare Compliance Conference - Orlando, FL - January 29th, 8:25 am - 5:30 pm EST

Our Virtual Regional Healthcare Compliance Conferences provide updates on the latest news in regulatory requirement, compliance enforcement, and strategies to develop effective compliance programs. Watch, listen, and ask...more

Faegre Drinker Biddle & Reath LLP

The SEC’s CCO Guidance Month

In a 30-day period, the U.S. Securities and Exchange Commission (“SEC”) has released guidance in three ways regarding certain views on the important role and potential liability risks of chief compliance officers (“CCOs”)....more

Jones Day

Australian Financial Services Regulatory Update - September 2020

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This edition of the Update addresses: 1. Recent legal and regulatory developments which relate to licencing and regulatory relief, consumer protection, financial markets, anti-money laundering and capital and prudential...more

McDermott Will & Emery

[Webinar] 2020 Healthcare Enforcement Mid-Year Roundup - July 22nd, 12:00 pm - 1:00 pm EST

McDermott Will & Emery on

The first half of 2020 set the tone for an unprecedented year for the healthcare industries. In light of the COVID-19 pandemic, healthcare organizations are navigating uncharted compliance waters while continuing to face...more

Steptoe & Johnson PLLC

U.S. Department of Justice Revises How It Evaluates Your Corporate Compliance Program

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On June 1, 2020, the United States Department of Justice (DOJ) released revised guidelines that it will use when its prosecutors evaluate your corporate compliance program and make corporate charging decisions, including...more

Perkins Coie

Digital Asset SEC Timeline - A Timeline of Selected Digital Asset-Related SEC Guidance, Speeches, and Enforcement Actions Issued...

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Perkins Coie LLP is pleased to bring you this updated Digital Asset SEC Timeline. This latest update includes recent settlement from the SEC In the Matter of BitClave PTE Ltd. The Digital Asset SEC Timeline serves as an...more

The Volkov Law Group

DOJ Revises its Corporate Compliance Guidance (Part I of II)

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If anyone thought that DOJ was planning to relax its expectations regarding corporate compliance programs, forget it – DOJ has removed all doubt.  In an announcement on Monday, June 1, 2020, DOJ released revised guidance,...more

Seyfarth Shaw LLP

Illinois Released Draft Modified Stay at Home Order That Will Be Effective From May 1 to May 30, 2020

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Seyfarth Synopsis.  On April 27, 2020, Illinois released a draft of the anticipated modified stay at home order that is expected to go into effect May 1, 2020 and will be effective until May 30, 2020.  ...more

Seyfarth Shaw LLP

Illinois to Modify and Extend Stay at Home Order Until May 30, 2020

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Seyfarth Synopsis: On Thursday, April 23, 2020, Governor J.B. Pritzker announced that he expected to sign an order modifying and extending the current Illinois’ stay-at-home order next week. The stay at home order will not...more

Akin Gump Strauss Hauer & Feld LLP

U.K.’s Data Protection Regulator’s Updated Guidance on “Empathetic and Pragmatic” Approach

On April 15, 2020, the Information Commissioner’s Office (ICO), the U.K.’s data protection authority, issued further guidance on its regulatory approach during the global COVID-19 pandemic. Following its March note that we...more

Katten Muchin Rosenman LLP

Bridging The Week - December 2019

The Commodity Futures Trading Commission issued revised guidance for mandatory chief compliance officer annual compliance reports for futures commission merchants and swap dealers. However, the proposed recommendations are...more

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