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Searching Content indexed under Compliance by WilmerHale ordered by Published Date Descending.
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1
DOJ Issues Updated Guidance On Evaluation Of Corporate Compliance Programs
On April 30, 2019, the Assistant Attorney General for the Criminal Division, Brian A. Benczkowski, announced an update to the DOJ's 2017 guidance document entitled Evaluation of Corporate Compliance Programs.
United States
6 Jun 2019
2
Justice Department Establishes New Guidelines On Giving Credit For Disclosure, Cooperation And Remediation In False Claims Act Cases
On May 6, 2019, the Justice Department issued new policies establishing how defendants in False Claims Act matters can earn credit for voluntary self-disclosure, cooperation, and remediation, possibly reducing ...
United States
6 Jun 2019
3
OFAC Crystallizes Expectations For Sanctions Compliance
OFAC published a public version of the settlement agreement.
United States
4 Apr 2019
4
An Introduction To The Foreign Agents Registration Act For Firms Assisting Foreign Clients In The United States
After decades in which the Foreign Agents Registration Act (FARA) received relatively little attention, a confluence of recent events has given the statute newfound prominence.
United States
12 Mar 2019
5
WilmerHale Attorneys Analyze OCIE Risk Alert on Cash Solicitation Rule
WilmerHale Attorneys Analyze OCIE Risk Alert on Cash Solicitation Rule.
United States
5 Feb 2019
6
Trans-Atlantic Winds Of Change For Corporate Monitorships?
Before going any further, whilst many compliance professionals will be very familiar with monitors, it is worth clarifying their role.
UK
13 Dec 2018
7
SFO - First 100 Days With The New Director
On 5 December Lisa Osofsky will have been in post as the Director of the Serious Fraud Office for 100 days.
UK
6 Dec 2018
8
DOJ Announces New Policy On Assessing The Need For And Selection Of Corporate Monitors
This change, as well as specifics from the new 2018 Monitor Memorandum, are detailed below.
United States
18 Oct 2018
9
UK Financial Regulators Respond To The Rise Of The Robots
On 12 February 2018, the UK FCA and the PRA each published papers outlining their respective regulatory governance and compliance expectations in respect of algorithmic trading.
UK
7 Mar 2018
10
In Case You Missed It: Launch Links - Week Of January 28, 2018
Some interesting links we found across the web this week
United States
5 Feb 2018
11
SEC Chairman Shares Upcoming SEC Rulemaking And Other Priorities At The 45th Annual Securities Regulation Institute
Earlier this week, SEC Chairman Jay Clayton and members of the SEC Division of Corporation Finance discussed a number of topics relevant to public companies ...
United States
29 Jan 2018
12
Compliance Deadline Reached For DoD Contractor Security Controls Requirements
Under the Department of Defense (DoD) final Defense Federal Acquisition Regulation Supplement rule on Network Penetration Reporting and Contracting for Cloud Services,1 DoD contractors maintaining, processing, ...
United States
5 Jan 2018
13
When the Inevitable Happens: When to Self-Report Securities Law Violations and What to Expect When You Do
An anonymous compliance hotline within your investment adviser suddenly receives complaints about a market-beating portfolio manager.
United States
28 Sep 2017
14
Keeping Current with Form 8-K: A Practical Guide
Form 8-K requires public companies to make prompt disclosures about a large number of specified events. Although Form 8-K does not mandate current reporting of all material events, it goes a long way toward requiring public companies to keep the markets informed of material developments on a day-to-day basis.
United States
2 Aug 2017
15
Compliance Officer Liability: Between A Rock And A Hard Place?
In recent years, a perception has developed that compliance officers have personally become more exposed to regulatory and government enforcement action.
UK
21 Apr 2017
16
SEC Enforcement: 2016 In Review and Looking Ahead to 2017
WilmerHale's Securities Enforcement and Litigation Group has released commentary discussing the Securities and Exchange Commission's enforcement record in 2016 and considering potential changes as a result of the new administration and change in leadership at the SEC.
United States
4 Mar 2017
17
Form SHC Deadline Approaching For Investment Advisers And Other Reporters
Investment advisers should take note that they may be required to file Treasury International Capital Benchmark (TIC) Form SHC by Friday, March 3, 2017.
United States
1 Mar 2017
18
False Claims Act: 2016 Year-in-Review
In 2016, the Department of Justice (DOJ) continued to give high priority to False Claims Act (FCA) investigations and prosecutions.
United States
1 Feb 2017
19
Anti-Money Laundering Enforcement: The Rise Of Individual Liability For Compliance Professionals
Individual AML compliance officers appear to be increasingly threatened with liability for failure to detect and prevent wrongdoing at their financial institutions.
United States
22 Dec 2016
20
Regulators Discuss Accounting And Auditing Developments At 2016 AICPA Conference
This year's American Institute of Certified Public Accountants Conference on SEC and PCAOB Developments, held on December 5-7, echoed several themes from prior AICPA conferences.
United States
20 Dec 2016
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