Searching Content indexed under Compliance by Orrick ordered by Published Date Descending.
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Orrick Releases Report Card On Compliance With New California Law Requiring Female Directors On Public Company Boards
The gender diversity report is Orrick's latest examination of corporate governance practices among the nation's public companies.
United States
14 Aug 2019
SEC Staff Observation From Examinations Of Investment Advisers
On July 23, the SEC Office of Compliance Inspections and Examinations published a Risk Alert on its "Observations from Examinations of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest."
United States
31 Jul 2019
DOJ Changes Course And Announces That It Will Favorably Consider "Robust" Antitrust Compliance Programs At Both The Charging And Sentencing Stages In Criminal Cases
Benjamin Franklin once observed that "an ounce of prevention is worth a pound of cure." In the antitrust context, this means that most, if not all, companies
United States
25 Jul 2019
New Law Decreases The Number Of Companies Required To Designate A Data Protection Officer In Germany
On June 28, 2019, the German parliament (Bundestag) passed new legislation imposing several changes to the current...
5 Jul 2019
Billy Jacobson On The New DOJ Compliance Program Evaluation Criteria [Podcast]
When designing a compliance and ethics program, organizations want one that not only will prevent, find and fix problems,
United States
4 Jul 2019
Billy Jacobson Discusses New DOJ Compliance Program Evaluation Criteria On Podcast
Billy Jacobson, a partner in our White Collar, Investigations, Securities Litigation, and Compliance group, recently participated in The Compliance & Ethics Blog's podcast ...
United States
13 Jun 2019
Jay-Z Thrusts SEC Subpoena Enforcement Into The Spotlight: A Look At Recent Trends And Considerations
If you have 99 problems, you should make sure that a Securities and Exchange Commission subpoena enforcement action is not one. On 3rd May, 2018, the SEC announced that it was seeking
United States
11 Jun 2019
Pay Equity Compliance In The Law Down Under
While many states across the U.S. continue to develop new equal pay laws, it is also important for global companies to be aware of equal pay laws abroad.
United States
26 Mar 2019
An End User's Practical Guide To The QFC Stay Rules
The Board of Governors of the Federal Reserve System (Board), the Office of the Comptroller of the Currency (OCC), and the Federal Deposit Insurance Corporation (FDIC)
United States
8 Mar 2019
SEC And FINRA's Annual Rites – Announcing Their Examination Priorities
On January 22, 2019, FINRA published its 2019 Risk Monitoring and Examination Priorities Letter.
United States
30 Jan 2019
2019 UK Gender Pay Gap Reporting – What To Expect
On 4 April 2019, employers with 250 or more employees will, once again, have to publish and report specific figures about their gender pay gap.
United States
15 Jan 2019
DOJ's New Policy On Independent Monitors - Time To Beef Up Compliance?
Orrick partner Amy Walsh and compliance specialist Sarah Foley co-authored an article for Corporate Counsel that examines the Department of Justice's new guidance regarding the appointment of corporate monitors.
United States
4 Dec 2018
I Can See Clearly Now: The OFCCP's Latest Directives Seek To Increase Transparency
For the second month in a row, the Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) has issued guidance to update materials available to federal contractors...
United States
15 Oct 2018
What Startups Need To Know About The Revised Reg D
Startups need funding, and most startups want to raise money with as little legal red tape as possible.
United States
22 Aug 2017
From Greyball To Snowball: Uber's Latest Travails, And How Multiple Investigations Of Misconduct May Imperil The Attorney-Client Privilege
Since then, the Portland City Council has voted to subpoena documents concerning the program, and lawmakers in Philadelphia and Austin have said they are cooperating with DOJ investigation.
United States
23 May 2017
SEC Brings Post-MCDC Enforcement Actions Against Underwriter And Officials
The SEC released two orders instituting cease-and-desist proceedings which are the first post-MCDC cases finding securities law violations based on misstatements in official statements regarding compliance...
United States
4 May 2017
Understanding The New DOJ Compliance Guidance: Part Three – Policies & Procedures
The Fraud Section's new guidance goes deeper, reflecting an approach that will assess not only the existence but also the design and integration of policies and procedures.
United States
21 Apr 2017
SEC Division Of Investment Management Issues Guidance On Holding Companies And The Transient Investment Company Rule Under The Investment Company Act
The Staff has clarified that the one-year safe harbor period does not begin until the occurrence of an extraordinary event causes a Holding Company to have certain characteristics of an investment company.
United States
10 Apr 2017
Understanding The New DOJ Compliance Guidance: Part 2 – Autonomy, Resources, And Staffing
This is the second in a series of posts where we will explore critical elements of a successful compliance program.
United States
7 Apr 2017
Understanding The New DOJ Guidance: Part 1 – Tone At The Top
In February, the Department of Justice's Fraud Section offered a new perspective on what the government expects in a compliance program in the form of a series of questions that companies should be...
United States
29 Mar 2017
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