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Searching Content indexed under Compliance by DLA Piper ordered by Published Date Descending.
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Draft Of A New Corporate Sanctioning Act
The Federal Ministry of Justice and Consumer Protection has presented the long-awaited draft of a new Corporate Sanctioning Act concisely titled "Draft Bill for an Act to combat corporate crime".
UK
24 Sep 2019
2
Walking The Tightrope: Distinguishing Substantial Compliance From Material Deficiency In Bid Documents
Imagine you are a procurement manager. You have received three proposals in response to your RFP, from Bidders A, B and C.
Canada
22 Jul 2019
3
SEC Adopts Conduct Rules And Interpretations Affecting Broker-Dealers And Investment Advisers – Compliance Date: June 30, 2020
On June 5, 2019, the Securities and Exchange Commission adopted Regulation Best Interest (Reg BI) and Form CRS.
United States
15 Jul 2019
4
UAE Introduces Economic Substance Legislation With Aim Of EU Blacklist Removal
In response to the EU blacklisting of the UAE, the UAE has recently published its Economic Substance legislation (Cabinet Resolution 31 of 2019).
Worldwide
9 Jul 2019
5
Revised Guidance From The DoJ: Would Your Organisation's Compliance Programme Stand Up To Scrutiny?
"Adequate procedures" under the UK Bribery Act is a well-known term in Compliance circles. Having adequate procedures is the only defence to a charge against a commercial organisation
UK
27 Jun 2019
6
Will Proposed SEC Whistleblower Rules Prevent the Undermining of Corporate Compliance Programs?
The US Securities and Exchange Commission has proposed new rules to implement the whistleblower provisions of the recently passed Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
United States
12 Nov 2010
7
Basel III Announced
On 12 September 2010 the Bank for International Settlements announced that the Group of Governors and Heads of Supervision, the oversight body of the Basel Committee on Banking Supervision ("BCBS"), had reached agreement on Basel III.
UK
21 Sep 2010
8
The Extraterritorial Reach of the New Dodd-Frank Whistleblower Law
Whistleblowers who assist the US Securities and Exchange Commission, including those residing outside the US, may receive substantial bounties under the new whistleblower provisions of the recently passed Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
United States
15 Sep 2010
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