United States: Compliance

A Financial Industry Regulatory Authority, Inc. (“FINRA”) member (the “broker-dealer”) recently entered into a settlement with FINRA in connection with failing to establish and maintain a supervisory system to comply with the requirements for the exclusion from registration under the Securities Act of 1933 (the “Securities Act”)...

March 17, 2026 marks the end of the grace period for Law No. 15,211/2025, Brazil’s Digital Statute for Children and Adolescents ("ECA Digital"). The law establishes a comprehensive regulatory framework for protecting children and adolescents ("minors") in digital environments and applies broadly to companies operating in the digital services and technology sector.

An environmental self-audit is a systematic, documented, and objective evaluation of how well an organization, its management systems, and its equipment perform and comply with federal, state, and local environmental statutes, regulations, and permit provisions. When conducted properly, these detailed self-assessments can identify areas of non-compliance, inefficiencies, and opportunities for improvement before they become costly compliance issues. More broadly, environmental self-audits also lead to improved protection of human health and the environment.