News & Analysis as of

New Guidance Code of Conduct

Goodwin

FCA Non-Financial Misconduct Rules: Private Fund Managers, Fintechs, and Other Non-Banks Firmly in Scope

Goodwin on

In a previous alert, “FCA D&I Standards for Large Firms Abandoned (for now), Non-financial Misconduct Rules Delayed (but Still Important),” we discussed the proposals put forward by the UK Financial Conduct Authority (FCA)...more

A&O Shearman

UK FCA plans for tackling non-financial misconduct: Next steps

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published its next steps to address non-financial misconduct within the financial services sector. With the publication of Consultation Paper CP25/18, the FCA signals its ongoing...more

BCLP

The Long-Awaited FCA Paper on Non-financial Misconduct – Was It Worth the Wait?

BCLP on

On 2 July 2025, the FCA published a further consultation paper on “tackling non-financial misconduct in financial services”. The industry has been eagerly awaiting publication of this paper, in the hope that it will address...more

Society of Corporate Compliance and Ethics...

How a code of conduct reflects culture and meets DOJ requirements

Every compliance program begins with a code of conduct. The code of conduct expresses a company’s fundamental values and its commitment to living by them. Although a code of conduct is usually a very high-level document, it...more

Sheppard Mullin Richter & Hampton LLP

NY State Bar Association Joins Florida and California on AI Ethics Guidance – Suggests Some Surprising Implications

The NY State Bar Association (NYSBA) Task Force on Artificial Intelligence has issued a nearly 80 page report (Report) and recommendations on the legal, social and ethical impact of artificial intelligence (AI) and generative...more

Latham & Watkins LLP

Hong Kong Regulators Announce Streamlined Approach to Dealing With Sophisticated Professional Investors

Latham & Watkins LLP on

The HKMA and the SFC permit relaxation of suitability and other regulatory requirements while dealing with high-net-worth and experienced investors. On 28 July 2023, the Hong Kong Monetary Authority (HKMA) and the...more

King & Spalding

Forced Labor Enforcement Task Force Issues Strategy To Prevent Forced Labor Imports From China

King & Spalding on

Statutorily-Mandated Report Also Includes Key Importer Guidance And Initial List Of Entities Tied To Forced Labor In The Xinjiang Uyghur Autonomous Region - The Forced Labor Enforcement Task Force (“FLETF”) issued a...more

Akin Gump Strauss Hauer & Feld LLP

DOJ’s New Corporate Compliance Evaluation Guidance

Key Considerations and Updates for Life Sciences Companies - On April 30, 2019, the Criminal Division of the U.S. Department of Justice (DOJ) issued updated guidance for white-collar prosecutors on evaluating the...more

WilmerHale

The Role of Compliance in Government Enforcement

WilmerHale on

As reflected in recent remarks by Deputy Attorney General Rod Rosenstein, the United States Department of Justice (DOJ) is “reinforcing its relationship with good corporate citizens” by coordinating with, and considering, the...more

NAVEX

CCOs Say Policies Are Getting Stronger; Adoption of Technology – Not So Much

NAVEX on

KPMG recently published its latest survey of chief compliance officers. The report highlights the increasing value of effective Compliance. It also reveals growing pains of our industry, specifically in maximizing...more

McGuireWoods LLP

NLRB’s Do’s and Don’ts of Employer Handbooks: Part 2 Conduct Toward Coworkers and Third Parties

McGuireWoods LLP on

On March 18, 2015, the National Labor Relations Board (NLRB) Office of the General Counsel released a 30-page memorandum providing guidance on employer rules and handbooks. The memorandum further solidified the NLRB’s...more

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