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Searching Content indexed under Compliance by Ropes & Gray LLP ordered by Published Date Descending.
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1
France's National Financial Prosecutor And Anti-Corruption Agency Issue Joint Guidelines On Corporate Settlement Mechanisms
On June 28, 2019, the French National Financial Prosecutor's Office (Parquet National Financier)("PNF")1 and the French Anti-Corruption Agency (Agence Française Anticorruption)("
United States
16 Aug 2019
2
SEC Proposes Amendments To Modernize Disclosures Of Business, Legal Proceedings And Risk Factors
On August 8, 2019, as part of its Disclosure Effectiveness effort, the SEC proposed amendments to three discrete Regulation S-K items – business description
United States
15 Aug 2019
3
Ropes & Gray's Investment Management Update – June-July 2019
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
15 Aug 2019
4
OFAC Continues To Demonstrate Greater Interest In Cryptocurrency Regulation And Enforcement
With the widespread arrival of Initial Coin Offerings ("ICOs") over the last several years,1 U.S. authorities have made deliberate progress toward keeping pace with the fast-growing crypto industry.
United States
13 Aug 2019
5
FTC Imposes Record-Setting $5 Billion Penalty To Resolve Allegations That Facebook Violated User Data Privacy
On July 24, 2019, the Federal Trade Commission ("FTC") announced that Facebook, Inc. ("Facebook" or the "Company") would pay a record-setting penalty in the amount of $5 billion
United States
8 Aug 2019
6
DOJ's Antitrust Division Announces New Policy To Incentivize Corporate Compliance At Charging
There are significant legal and business implications as a result of the new policy, which further underscore the importance of establishing and maintaining an effective and robust compliance program to minimize risks and exposure.
United States
1 Aug 2019
7
Podcast: Private Fund Regulatory Update – Network And Cloud Storage
Also, they or their private funds may instead have obligations under other similar regulations.
United States
25 Jul 2019
8
A Guide To FCA Cooperation Credit For Life Sciences Companies
On May 7, 2019, the U.S. Department of Justice issued guidelines describing when and under what circumstances it will award cooperation credit in False Claims Act matters.
United States
9 Jul 2019
9
The IRS' New Large Corporate Compliance Program Targets Noncompliance Risks For Examination
On May 16, 2019, the Large Business and International (LB&I) Division of the IRS unveiled the Large Corporate Compliance (LCC) program.
United States
9 Jul 2019
10
SEC Adopts Regulation Best Interest And Issues Interpretive Release On The "Solely Incidental" Exclusion
On June 5, 2019, the SEC adopted two rules and published two interpretations "designed to enhance the quality and transparency of retail investors' relationships with investment advisers and broker-dealers."
United States
27 Jun 2019
11
Dutch Child Labor Due Diligence Act Approved By Senate – Implications For Global Companies
The Dutch Senate has approved the Child Labor Due Diligence Act, which had been pending for more than two years
United States
12 Jun 2019
12
New DOJ Guidance Reflects An Evolution In The Evaluation Of Corporate Compliance Programs
On April 30, 2019, the DOJ's Criminal Division published an updated Evaluation of Corporate Compliance Programs Guidance Document ("the Guidance") for prosecutors to use in evaluating corporate compliance programs.
United States
17 May 2019
13
Concerns About Pay-To-Play Violations Amplify As 2020 Giving Ramps Up
As the 2020 Democratic presidential primary election field develops and new candidates join the race, more and more individuals are donating to their presidential candidates of choice.
United States
15 May 2019
14
Modern Slavery Compliance For U.S.-Based (And Other) Multinationals: A Review Of Recent Compliance And Disclosure Developments In The United States And Abroad
Modern slavery compliance is becoming a bigger focus at U.S.-based and other multinationals. Compliance continues to evolve at a rapid pace. Over the last several months,
United States
7 May 2019
15
2019 Mutual Funds And Investment Management Conference
Susan M. Olson, General Counsel, Investment Company Institute Ms. Olson noted the wide range of regulatory initiatives during 2018 and so far in 2019 that will impact registered funds and their service providers and shareholders.
United States
17 Apr 2019
16
OFAC Raises The Compliance Bar: Takeaways From The Stanley Black & Decker Settlement
On March 27, the Office of Foreign Assets Control ("OFAC") announced a $1.869 million settlement with Stanley Black & Decker, Inc. ("SB&D") and its Chinese subsidiary, Jiangsu Guoqiang Tools Co., Ltd.
United States
16 Apr 2019
17
FCPA Corporate Enforcement Policy Update: DOJ Introduces New Compliance Requirements For Companies Using Instant Messaging Platforms
On March 12, 2019, the United States Department of Justice (the "DOJ") revised key provisions of the FCPA Corporate Enforcement Policy (the "Policy").
United States
2 Apr 2019
18
New International Pharmaceutical Practice Code Tightens Restrictions On Gifts
On January 1, 2019, the revised Code of Practice issued by the International Federation of Pharmaceutical Manufacturers & Associations (IFPMA) went into effect.
United States
7 Mar 2019
19
IRS Makes Cryptocurrency A Compliance Priority
The Internal Revenue Service (IRS) and other global taxing authorities are continuing to focus on bringing taxpayers who hold cryptocurrencies into compliance.
United States
13 Feb 2019
20
UK Take Private Opportunities For US Funds
Many would have thought that potential UK public to private activity would have remained subdued given the regulatory framework implemented following Kraft/Cadbury and the macro headwinds of high
Worldwide
30 Jan 2019
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