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Searching Content indexed under Compliance by McGuireWoods LLP ordered by Published Date Descending.
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1
SEC Enforcement Chief Andrew Ceresney Discusses CCO Liability
Consistent with prior statements by the SEC staff, Mr. Ceresney outlined the three areas where the Enforcement Division generally brings cases against CCOs.
United States
23 Dec 2015
2
Just Admit It – SEC Requiring Admissions With Increased Frequency
In 2012 and 2013 the Securities and Exchange Commission changed its longstanding policy of permitting defendants to settle enforcement actions without admitting or denying liability.
United States
9 Dec 2015
3
A New FCPA Policy May Be Coming, But Questions Remain
Just a week after the U.S. Department of Justice introduced its new Compliance Counsel, and just a month after the DOJ issued the "Yates memo," it is now being reported that the DOJ is considering a new policy that would offer corporations leniency if they voluntarily disclose violations of the U.S. Foreign Corrupt Practices Act and fully cooperate with investigations.
United States
20 Nov 2015
4
Overreacting To Risk Can Ruin A Compliance Program
But there is a balance to be struck between mitigating risks and maximizing profits.
United States
11 Nov 2015
5
SEC Proposes To Amend Rules Governing Administrative Proceedings
On September 24, 2015, the Securities and Exchange Commission (SEC) issued a press release announcing proposed amendments to its Rules of Practice governing administrative proceedings.
United States
2 Oct 2015
6
SEC's OCIE Issues A Second Cybersecurity Risk Alert
On Sept. 15, 2015, the Securities Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) published its second cybersecurity risk alert (the "2015 Risk Alert").
United States
30 Sep 2015
7
SEC's OCIE Issues A Second Cybersecurity Risk Alert
On Sept. 15, 2015, the Securities Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) published its second cybersecurity risk alert (the "2015 Risk Alert").
United States
30 Sep 2015
8
FinCEN Announces Caesars Penalty After Multiyear Investigation
This week the Financial Crimes Enforcement Network (FinCEN) announced a Consent Agreement that imposed an $8 million civil penalty against Desert Palace, Inc. d/b/a Caesars Palace.
United States
17 Sep 2015
9
Brackett, Menges And Rowan Co-Author Article On Issues Tied To Credit Agreements
Just Anti-Corruption, a respected publication specializing in FCPA developments, published an article "Compliance Concerns Complicate Credit Agreements".
United States
14 Sep 2015
10
CMS Proposes Exceptions, Revisions And Requests Comments To Ease Stark Law Compliance
The Centers for Medicare & Medicaid Services (CMS) recently proposed regulatory changes to the Stark Law that may ease certain compliance challenges.
United States
8 Sep 2015
11
FinCEN Proposes Rule Requiring Investment Advisor AML Compliance
Investment advisors may soon face increased costs and scrutiny thanks to a proposed rule issued by the Financial Crimes Enforcement Network (FinCEN).
United States
28 Aug 2015
12
Casino Forfeiture A Reminder That FinCEN's Regulatory Oversight May Involve DOJ And Criminal Penalty
In early June 2015, FinCEN assessed a civil money penalty on the Tinian Dynasty Hotel & Casino, located in the Northern Mariana Islands, an archipelago to the east of the Philippines.
United States
3 Aug 2015
13
Possible Life Sentence In Salmonella Case Raises Stakes For Food And Beverage Industry Compliance
PCA was a supplier of peanut ingredients to international food and beverage companies, grossing approximately $30 million per year.
United States
31 Jul 2015
14
SEC's Whistleblower Program Awards Over $3 Million To Company Insider
On Friday, July 17, the Securities and Exchange Commission (SEC) announced that it will award more than $3 million to a company insider who helped the SEC "crack a complex fraud."
United States
24 Jul 2015
15
The GRCI Resource Guide
The GRCI Resource Guide (sixth edition) is a quick reference tool for in-house attorneys, compliance officials and executives affiliated with our top clients and friends.
United States
22 Jul 2015
16
FinCEN Reasserts Its Commitment To Casino Oversight And Enforcement
In a recent post we described a number of steps taken over the last year by the primary federal regulator for casinos – the Financial Crimes Enforcement Network (FinCEN)...
United States
7 Jul 2015
17
SEC Proposes "Pay-Versus-Performance" Disclosure Rules
On April 29, the SEC proposed new "pay-versus-performance" disclosure rules to implement one of the last two remaining executive compensation requirements mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
6 May 2015
18
AML Compliance Developments In The Gaming Industry
Executives of regulated entities often lament that fulfilling compliance obligations interferes with their ability to operate their business.
United States
29 Apr 2015
19
Court Condemns Law Firm's Privilege Claim As "Subterfuge": Part II
This and other similar cases highlight the wisdom of involving lawyers at the first hint of a problem...
United States
21 Apr 2015
20
Court Condemns Law Firm's Privilege Claim As "Subterfuge": Part I
Some companies begin internal investigations or audits for business reasons, but later try to cloak related communications and documents with work product privilege protection.
United States
20 Apr 2015
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