Mondaq USA: Corporate/Commercial Law > Compliance
Duff and Phelps
Big data's becoming a big issue for hedge funds and other managers, and it could cause some major problems for compliance.
Foley Hoag LLP
It's Friday and time for another overview of developments in the field of business and human rights that we've been monitoring.
Stroock & Stroock & Lavan LLP
On April 12, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a Risk Alert highlighting the most frequent advisory fee...
Proskauer Rose LLP
On April 12, 2018, the SEC's Office of Compliance Inspections and Examinations issued a risk alert listing the most common compliance issues concerning fees and expenses charged by SEC-registered investment advisers
Fredrikson & Byron, P.A.
Despite expert warnings that individual company disclosures mandated by the newly-effective pay ratio disclosure rule can be "meaningless" or "misleading," overall data patterns can help benchmarking.
Fredrikson & Byron, P.A.
As The Ticker has previously reported, soon after he was sworn in last year, SEC Chairman Jay Clayton gave a speech in which he encouraged companies to use Rule 3-13 ...
Duff and Phelps
A great deal has been written about the inordinate time and expense companies experience as result of being subject to a Delaware unclaimed property audit.
Duff and Phelps
California ("CA") has long been considered among the few states that regularly imposes interest and penalties for late filing of unclaimed property reports, yet does not have a program...
Morrison & Foerster LLP
The Risk Alert summarizes deficiencies identified in more than 1,500 examinations completed during the past two years.
McDermott Will & Emery
Several new developments highlight the special oversight obligations of directors in connection with health system investment in new technology ventures.
Ropes & Gray LLP
Compliance programs are difficult to design, and implementing and enforcing policies and procedures is challenging, especially in complex, global organizations.
Foley Hoag LLP
It's Friday and time for another overview of developments in the field of business and human rights that we've been monitoring.
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, and effective dates.
Carlton Fields
The recent tax law changes have focused primarily on corporate income tax, and in the international context, mostly on outbound tax matters
Shearman & Sterling LLP
The Federal Trade Commission (FTC) has recently re-emphasized the potential risks of antitrust violations stemming from the exchange of competitively sensitive information during pre-merger negotiations and due diligence.
Carlton Fields
In late 2017, FINRA pronounced in Regulatory Notice 17-30 that, "Beginning on October 1, 2018, unregistered persons cannot accept an order from a customer under any circumstances.
Cadwalader, Wickersham & Taft LLP
The SEC charged a broker-dealer for failing to take action against a registered representative who conducted a pump-and-dump scheme.
Shearman & Sterling LLP
In October 2016, a unanimous Securities and Exchange Commission adopted a package of rules for Investment Company Liquidity Risk Management Programs and set a deadline for implementation of December 2018.
Dentons
Over the past five years the Polish market for business service centers has doubled—to more than 190,000 employees in over 930 centers.
Shearman & Sterling LLP
The EU and U.S. competition authorities have been and remain active in enforcing gun-jumping cases, while in recent years other competition authorities across the world, including in China...
Latest Video
Most Popular Recent Articles
Schnader Harrison Segal & Lewis LLP
Last November, Deputy Attorney General Rod Rosenstein announced a new enforcement policy. Under the new policy, businesses subject to the FCPA may avoid criminal liability by self-reporting wrongdoing, ...
Ropes & Gray LLP
After years of looming on the fringes, 2018 is likely to go down as the year that corporate social responsibility compliance became a core responsibility of in-house legal departments.
McDermott Will & Emery
A series of new media reports and consultant commentary on industry evolution highlight the increasing pressure on health system boards to fully engage in sophisticated strategic planning...
Cadwalader, Wickersham & Taft LLP
The SEC charged a broker-dealer for failing to take action against a registered representative who conducted a pump-and-dump scheme.
Carlton Fields
In late 2017, FINRA pronounced in Regulatory Notice 17-30 that, "Beginning on October 1, 2018, unregistered persons cannot accept an order from a customer under any circumstances.
Shearman & Sterling LLP
In October 2016, a unanimous Securities and Exchange Commission adopted a package of rules for Investment Company Liquidity Risk Management Programs and set a deadline for implementation of December 2018.
Carlton Fields
The recent tax law changes have focused primarily on corporate income tax, and in the international context, mostly on outbound tax matters
Ford & Harrison LLP
Companies with people in the EU or doing business in the EU need to be thinking about the EU's General Data Protection Regulations (GDPR) and whether the regulations apply to them.
WilmerHale
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, ...
Foley Hoag LLP
It's Friday and time for another overview of developments in the field of business and human rights that we've been monitoring.
Article Search Using Filters
Related Topics
Mondaq Advice Center (MACs)
Popular Authors
Popular Contributors
Up-coming Events Search
Tools
Font Size:
Translation
Channels
Mondaq on Twitter
Partners
In association with