The Securities and Exchange Commission has adopted rulemaking intended to enhance the quality and transparency of investor relationships with investment advisers and broker-dealers.
Regulatory Policy
Posted inRegulatory Enforcement
Policy change previewed by DOJ a tip of the cap to compliance
A change to the DOJ’s leniency program could be good news for companies that can demonstrate an effective compliance program.
Posted inRegulatory Policy
Not just blowing smoke: Time to take cannabis compliance seriously
As cannabis legalization spreads, so too do the risks and challenges for businesses.
Posted inAccounting & Auditing
SEC focus: Reduce burden while protecting investors
The SEC has stuck to its promise to focus on initiatives that can improve capital formation and lighten the regulatory burden.
Posted inRegulatory Enforcement
SEC to hold roundtable on public marketplace
Coming this summer: An SEC roundtable for the public and SEC staff to discuss short-term and long-term management, the periodic reporting system, and SEC regulations.
Posted inRegulatory Policy
Commerce unveils new attack on ‘currency manipulation’
The Department of Commerce has issued a notice of proposed rulemaking to impose countervailing duties on countries that act to undervalue their currency relative to the dollar.
Posted inRegulatory Policy
Ten takeaways from CW2019
The 14th annual Compliance Week conference is in the books, and with it more than 60 sessions filled with helpful anecdotes, shared best practices, career advice, and much, much more.
Posted inData Privacy
Happy birthday, GDPR: A look back at Year 1
As the EU’s General Data Protection Regulation celebrates its first “birthday,” an expert panel met at Compliance Week 2019 to share their experiences in prepping, implementing, and following up.
Posted inRegulatory Policy
Claire McCusker Murray: Incentivizing corporate compliance at the DOJ
Justice Department Principal Deputy Associate Attorney General Claire McCusker Murray spoke at CW’s annual conference on how the agency’s Civil Division seeks to motivate compliance.
Posted inEurope
Companies House reforms to better protect U.K. companies from criminal activity
Companies House recently unveiled a substantial package of reforms that will do more to safeguard the personal data of business owners in an effort to offer U.K. companies greater protection from fraud.
