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Foley & Lardner LLP

What Every Multinational Company Needs to Know About...Implementing an International Compliance Program (Part III)

Foley & Lardner LLP on

We have received several requests for a list of the compliance policies that make sense for every multinational company. So, as a follow-up to our earlier two posts providing “twelve steps to international compliance” (see...more

Thomas Fox - Compliance Evangelist

Operationalizing Compliance: Part V – Controller’s Office

This week I have engaged in a series on how a Chief Compliance Officer (CCO) or compliance practitioner might think about operationalizing a compliance program with other corporate functions and disciplines. I have been...more

The Volkov Law Group

The Revolution in Compliance Training – It is Not Just About Your ABCs

The Volkov Law Group on

A CCO never feels like he or she has caught up on compliance program requirements. As soon as one new best practice is identified, a CCO blinks for a moment and then there is a new best practice for them to consider....more

The Volkov Law Group

The Three Lines of Compliance Offense Versus The Three Lines of Compliance Defense

The Volkov Law Group on

People crave simple solutions to complex problems. No, this is not a political statement, nor do I intend to wade into politics. This statement applies across the board – to business, compliance, government, and other...more

Sullivan & Worcester

The Top Five "Gotcha" Deficiencies Plaguing Asset Managers and How to Avoid Them

Sullivan & Worcester on

Let’s start with this caveat: as we all know, under the still-new Trump Administration, priorities may and are likely to change. Now that we got that off our chest, it is nevertheless not the time to sit back and wait. The...more

Kramer Levin Naftalis & Frankel LLP

Funds Talk: March 2017

OCIE Highlights Frequent Topics for Compliance Deficiencies for Investment Advisers - On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (“OCIE”) published...more

Dechert LLP

US SEC Publishes Risk Alert on Top Five Investment Adviser Compliance Issues Found During Inspections

Dechert LLP on

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) issued a National Exam Program Risk Alert on February 7, 2017 (Risk Alert), highlighting the “five compliance...more

Dorsey & Whitney LLP

SEC Fines Adviser $20 Million Based on Conflicts

Dorsey & Whitney LLP on

Failure to disclose conflicts of interest and/or to comply with firm procedures are the predicates for a series of SEC enforcement actions involving regulated entities. The most recent example of these trends is an action...more

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