Searching Content indexed under Compliance by Day Pitney LLP ordered by Published Date Descending.
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DOJ Says Noncompliance With Manuals Is Not Enough For Prosecution – Or Is It?
In December 2018, the Department of Justice (DOJ) formalized its position on limiting the use of guidance documents issued by federal agencies to govern its prosecution decisions.
United States
20 Feb 2019
White Collar Roundup - November 2018
Assistant Attorney General Brian A. Benczkowski made a splash at the NYU School of Law Program on Corporate Compliance and Enforcement Conference by unveiling the new policy by the U.S. DOJ for selecting corporate monitors.
United States
12 Nov 2018
Privacy Concerns Hit Ride-Hailing Push Into Health Care
A March 12 article in Bloomberg BNA's Health Care Daily Report, "Privacy Concerns Hit Ride-Hailing Push Into Health Care," discussed issues that Uber and Lyft will need to address in order to...
United States
16 Mar 2018
White Collar Roundup - October 2016
The Securities and Exchange Commission's (SEC) Division of Enforcement director, Andrew Ceresney, outlined the successes of the whistleblower program during a speech in Washington, D.C.
United States
4 Oct 2016
Capital Acquisition Brokers: Should You Play By The New Rules?
Just in time for back-to-school season, the SEC has approved FINRA's new rule book for "capital acquisition brokers" (CABs) – firms that are solely engaged in advising companies on mergers and acquisitions, advising issuers on raising debt and equity capital in private placements with institutional investors, or providing strategic and financial advisory services.
United States
1 Sep 2016
DOJ Reassures Companies Fearing Certain Successor Liability, Further Turns its Attention to Individual Executives
A U.S. Department of Justice ("DOJ") opinion released earlier this week suggests that, under the right circumstances, companies that buy foreign businesses may not incur liability for the target's pre-acquisition corrupt conduct if the misconduct occurred outside the U.S. and did not involve U.S. nationals.
United States
22 Nov 2014
"Custody Rule" Information Delays Lead To Enforcement Against Investment Advisers
SEC enforcement actions have moved out of the realm of punishing wrongdoers for harm caused and into preemptive measures.
United States
6 Nov 2014
SEC Ratchets Up Enforcement Of Cybersecurity Compliance
The U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert last week on managing cybersecurity risks.
United States
22 Apr 2014
Beyond A Culture of Compliance: Securities Regulators Emphasize Disclosure
Recent statements by securities regulators emphasize that financial firms need to move beyond a "culture of compliance" to ensure that investors have a better understanding of risk and the investments they are purchasing.
United States
30 May 2013
CFTC External Business Conduct Standards - Temporary Relief To Foreign Exchange Transactions
A no-action letter issued on May 2 provides swap dealers and major swap participants with temporary relief from compliance with External Business Conduct Standards rules in connection with certain foreign exchange transactions that have a settlement cycle of no more than seven local business days (T+7).
United States
9 May 2013
SEC Finds Fault With Adviser Custody Practices
On March 4, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission issued a Risk Alert on investment adviser custody and related matters.
United States
13 Mar 2013
FTC Amends Identity Theft Rule To Narrow Definition Of Covered Entities
After a three-year delay amid a swirl of controversy and litigation over the types of entities covered under the Identity Theft Red Flags Rule ("Red Flags Rule"), the Federal Trade Commission ("FTC") has bowed to the will of Congress and amended the rule to limit the scope of covered entities, as reported in the Federal Register on December 6 [77 FR 72712].
United States
12 Dec 2012
Treatment Of Trust Preferred Securities Under Dodd-Frank
The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act") was signed into law by President Obama on July 21. The Act includes a number of important provisions of interest that we will address in a series of Alerts to our banking clients.
United States
26 Jul 2012
Court Rules Bank's Security Procedures Were Not Commercially Reasonable
In an important decision last week, the U.S. Court of Appeals for the First Circuit held that People's United Bank's online banking security procedures were not commercially reasonable.
United States
15 Jul 2012
Congress Passes JOBS Bill For Emerging Growth Companies
Congress passed the Jumpstart Our Business Startups Act (the "JOBS Act") today with the stated intention of making it easier for emerging growth companies to raise capital and, as a result, to increase employment. President Obama is expected to sign the bill promptly.
United States
18 Apr 2012
Proposal To Update COSO's Internal Control Framework
The Committee of Sponsoring Organizations of the Treadway Commission (COSO)1 has recently issued a proposed update to its internal control framework.
United States
18 Jan 2012
Volcker Rule Requirements For Community Banks
On November 7, 2011, the federal bank regulatory agencies together with the Securities and Exchange Commission issued in the Federal Register proposed regulations implementing Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
12 Dec 2011
SEC Crackdown On Investment Adviser Compliance Deficiencies
The Securities and Exchange Commission (the "SEC") is cracking down on firms with compliance deficiencies under the Investment Advisers Act of 1940, as amended (the "Advisers Act").
United States
6 Dec 2011
Consumer Financial Protection Bureau Early Warning Notices
Earlier this week, the Consumer Financial Protection Bureau (CFPB) issued an Enforcement Bulletin (CFPB Bulletin 2011-04) providing information on Early Warning Notices to be issued by the CFPB's Office of Enforcement.
United States
14 Nov 2011
Connecticut Department Of Banking Releases Orders Clarifying Investment Adviser Registration And Regulation
On July 11, 2011, the State of Connecticut Department of Banking (the "Department") released three Orders regarding Connecticut investment adviser registration and regulation.
United States
19 Jul 2011
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