The first update to the SEC and Justice Department’s FCPA Resource Guide since it was published in 2012 includes several clarifications intended to benefit chief compliance officers and in-house counsel.
Regulatory Policy
Posted inInternal Controls
What regulators want to know about KYC technology
So, your company has decided to embark on an update of its legacy Know Your Customer system. Hear from experts on how to begin the process of onboarding that tech to the regulators.
Posted inAccounting & Auditing
Will U.K. mandate that Big Four separate audit units make a difference?
The FRC hopes its demand that the Big Four isolate their audit units from their other businesses by 2024 will improve their ethical behavior … but some are skeptical.
Posted inRegulatory Enforcement
EPA enforcement discretion policy to end next month
The Environmental Protection Agency has revised its temporary—and controversial—enforcement discretion policy regarding environmental legal obligations during the coronavirus pandemic, establishing an end date of Aug. 31.
Posted inRegulatory Policy
FTC, DOJ issue modernized guidance on vertical mergers
The FTC and DOJ jointly issued long-awaited vertical merger guidelines that will replace decades-old parameters to more accurately represent the agencies’ merger review process.
Posted inEthics & Culture
Market forces, not regs, leading the charge for data privacy
Data privacy is about to become a more tangible concept to Americans not due to regulation like the CCPA, but because the most influential brand in the nation is making it a pillar of how it does business.
Posted inRegulatory Policy
Labor Department revives fiduciary rule with new proposal
The U.S. Department of Labor announced the proposal of a new exemption for investment advice fiduciaries designed to replace retirement-focused fiduciary rules made invalid two years ago.
Posted inRegulatory Enforcement
Supreme Court: CFPB single-director structure unconstitutional
The U.S. Supreme Court ruled the CFPB’s single-director structure violates the separation of powers between the executive and legislative branches and is unconstitutional.
Posted inRegulatory Policy
Bill proposes national cyber-security czar
A bill with bipartisan Congressional support proposes to create a national cyber-security czar who would report directly to the president.
Posted inRegulatory Enforcement
SEC risk alert provides compliance roadmap for investment advisors
A risk alert issued recently by the SEC examines disclosure deficiencies by investment advisors managing private funds.
