Searching Content indexed under Compliance by Arnold & Porter ordered by Published Date Descending.
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Investment Fund Family Pays $609k Penalty For Missed HSR Filings Related To Stock Conversions
On August 28, 2019, the Federal Trade Commission (FTC) settled allegations that an investment advisor and three funds it manages failed
United States
10 Sep 2019
Inline XBRL Reminders for Large Accelerated Filers
Inline XBRL requires filers to embed XBRL data directly into an HTML document.
United States
2 Aug 2019
Antitrust, High Tech And Digital Platforms: A View From Both Sides Of The Atlantic
EC efforts to expand and invigorate investigations into this sector.
30 Jul 2019
Global Anti-Corruption Insights: Summer 2019
The US Department of Justice and US Securities and Exchange Commission have announced over $1 billion in corporate settlements of Foreign Corrupt Practices Act matters so far this year.
29 Jul 2019
"A New Model For Incentivizing Antitrust Compliance Programs": Changes To DOJ Antitrust Enforcement
It is not evident just how much the new policy will affect enforcement.
United States
24 Jul 2019
(How) Should You Change Your Company's Compliance Program(s) In Response To The DOJ's Recent Guidance? (Video)
(How) Should You Change Your Company's Compliance Program(s) in Response to the DOJ's Recent Guidance.
United States
11 Jul 2019
The SEC's "Regulation Best Interest," Form CRS, And Investment Adviser Interpretations: Does The New Framework Actually Protect The Best Interest Of Customers And Clients?
On June 5, 2019, the US Securities and Exchange Commission approved the following new rules and interpretations aimed at clarifying the duties that broker-dealers and investment advisers owe to their retail customers and clients:
United States
3 Jul 2019
New Rules For Omitting Competitively Sensitive Information In SEC-Filed Material Contracts
The Fixing America's Surface Transportation Act of 2015, 129 Stat. 1312, mandated that the U.S. Securities and Exchange Commission modernize and simplify certain of its disclosure requirements.
United States
2 Jul 2019
Promoting FCA Cooperation Guidance, DOJ Dangles Discretion To Make FCA Allegations Go Poof!
The recent rollout of DOJ's False Claims Act Cooperation Guidance left many practitioners scratching their heads about how it really changed the landscape on cooperation since, as we previously blogged:
United States
18 Jun 2019
Public Shaming Will Not Solve The Lack Of Diversity On Corporate Boards
General Motors shareholders last week elected a slate of directors that includes more women than men.
United States
13 Jun 2019
DOJ Issues New Guidance On Evaluating The Effectiveness Of Compliance Programs
On April 30, 2019, the Department of Justice Criminal Division published new guidance for corporate compliance programs.
United States
9 May 2019
Streamlined Procedure For Confidential Treatment Extensions
On April 16, 2019, the SEC announced a short form application that streamlines the process for requesting an extension of a previously granted confidential treatment order.
United States
1 May 2019
SEC Approves NYSE Amendments To Shareholder Approval Rules
These amendments are similar to recent NASDAQ rule changes approved by the SEC.
United States
10 Apr 2019
SEC Division Of Corporation Finance Director Discusses Brexit And Sustainability Disclosures
On March 15, William Hinman, the Director of the SEC's Division of Corporation Finance, spoke at the 18th Annual Institute on Securities Regulation in Europe.
United States
29 Mar 2019
How To Comply With Qualified Financial Contract Rules
In the fall of 2017, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency promulgated new rules...
United States
5 Feb 2019
Clinical Trials And Anti-Corruption Laws: Managing Risk In A Rapidly Changing Environment
he life sciences industry has long been a focus of anti-corruption enforcement, and changing models for global clinical research have made anti-corruption a critical risk area for research-based
United States
24 Jan 2019
QFC Rules And ISDA 2018 US Resolution Stay Protocol
In the fall of 2017, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the Currency ...
United States
15 Jan 2019
The SEC's Market Abuse Unit Continues To Prioritize Market Structure Enforcement
Since January 2017, the SEC has quietly racked up at least half a dozen major enforcement actions charging a wide range of equity market structure violations.
United States
14 Jan 2019
Joint Statement On BSA/AML Innovation Provides Clarity And Flexibility
n December 3, 2018, the federal bank regulatory agencies, the National Credit Union Administration and the Financial Crimes Enforcement Network (FinCEN) ...
United States
13 Dec 2018
CAS Certificate Of Advanced Studies/Compliance Investigator
Dr. Hans-Joachim Fritz held a workshop at the Zurich University of Applied Sciences within the scope of their course of studies regarding "CAS Certificate of Advanced Studies/Compliance Investigator."
United States
22 Nov 2018
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