Regulatory Policy

Supreme Court

Supreme Court to consider scope of FTC enforcement authority


The Supreme Court agreed to hear a case that will decide whether the FTC can seek to recoup funds unlawfully obtained by individuals and companies resulting from violations of consumer protection laws.


FCPA Resource Guide revision a gold mine for compliance officers


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.


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.

United Kingdom

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.


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.


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.

David Lefort

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.

Department of Labor

Labor Dept. 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.

Supreme Court

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.

Cyber locks

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.


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.


Regs rollback Volcker rule restrictions on bank investments


Despite pushback from some regulators and Democrats in Congress, the newest Volcker rule update will allow banks—in certain circumstances—to invest or sponsor hedge funds and private equity funds.


Experts: CCPA enforcement will prioritize children’s privacy, digital marketing


What will enforcement of the California Consumer Privacy Act look like at first? Experts offer their take, in addition to providing guidance for companies still not in compliance with the landmark legislation.

Capitol Hill

Democratic privacy bill proposes new data agency


A draft privacy bill from Sen. Sherrod Brown (D-Ohio) would require companies seeking to collect sensitive personal data to receive a “certification of compliance” from a newly created independent agency.


FTC stumps for additional resources to police privacy


The FTC says it would consider creating three new units to pursue privacy enforcement investigations if Congress would increase its full-time employee headcount.


CFPB launches pilot advisory opinion program


The Consumer Financial Protection Bureau has launched a pilot advisory opinion program that allows companies seeking to comply with its regulations to submit questions on areas of uncertainty.


SEC Chair Clayton’s SDNY nomination may melt in harsh spotlight


SEC Chairman Jay Clayton will be in for the fight of his life to secure a nomination to become the next U.S. Attorney for the Southern District of New York.

columnist icons - kyle

Like it or not, Clayton caught up in Trump machine


SEC head Jay Clayton has largely stayed out of the spotlight … until now, as he finds himself embroiled in a controversy that wasn’t of his own making. Such is life as a cog in the Trump machine.

Supreme Court

Supreme Court: SEC can recoup ill-gotten profits, with caveats


The U.S. Supreme Court reaffirmed the SEC’s authority to recoup profits obtained from fraudulent schemes but limited the scope of what can be sought through disgorgement.

David Lefort

Don’t let Trump’s actions lower the bar for checks and balances


The fact that President Trump is so unabashedly bold about holding his finger on the scales of justice should remind CCOs that ethics and rules can’t be bent for political (or business) gain.


Trump nominates Democrat Crenshaw to SEC


President Trump has nominated Caroline Crenshaw to be a member of the Securities and Exchange Commission, filling the Democratic seat left vacant by the resignation of Commissioner Robert Jackson.

Social media

DOJ proposes rollback of legal shields for Twitter, Facebook


The Department of Justice has proposed a series of rollbacks of protections for online platforms that would encourage them to police their content.

David Lefort

Why a principles-based regulatory approach works for CFTC


CFTC Chairman Heath Tarbert seeks to let the evolving commodities market breathe with a “principles-based” regulatory approach.


Contact tracing app development stunted by inaction in Congress


As federal officials dicker over details in a federal data privacy law, the coronavirus continues to spread. Development of a key technological tool in the fight is being kneecapped by their inaction.

regulatory events 2019

Regulators skew virtual with summer events calendar

2020-06-17T16:21:00+01:00By DeAnn Orie

Despite the coronavirus pandemic throwing a wrench into the events industry, U.S. regulators are still planning Webinars and other opportunities this summer to engage with the public.

US whistleblower

Dems propose coronavirus whistleblower protection bill


A group of prominent Democratic legislators has proposed a whistleblower protection bill designed to help uncover fraud and waste in the trillions of dollars worth of coronavirus-relief funds allocated by Congress.


SEC guidance: Areas of focus for Reg BI


The SEC confirmed the June 30 compliance date for its Regulation Best Interest rule, in addition to sharing a handful of areas that deserve attention when making recommendations to investors in accordance with new policy.

California lawsuit

Data broker lawsuit involving ZoomInfo could provide CCPA enforcement insight


As the July 1 enforcement deadline of the California Consumer Privacy Act inches closer, a recently filed lawsuit between two data marketing firms may shed light on the efforts companies must take to comply with the new law.


When manufacturing new product lines, be aware of new compliance risks


As companies around the world begin to manufacture products outside their comfort zone to address dire shortages in personal protective equipment amid the pandemic, compliance practitioners are negotiating new risks and challenges.


CFTC stresses clarity in revised civil monetary penalty guidance


The CFTC’s Division of Enforcement issued new civil monetary penalty guidance for the first time since publishing its penalty guidelines in 1994. The update is in line with recent efforts by the DOJ to crack down on commodities fraud.

integreon 300x200

CPE Webcast: Regulatory & compliance readiness: The struggle is real

2020-06-02T14:00:00+01:00Provided by

With multiple regulatory and compliance events happening and more on the horizon, companies of all sizes and complexity are having to quickly respond and adhere to new rules and requirements.


No stopping CCPA enforcement deadline, says California AG


With one month to go to the July 1 enforcement deadline of the California Consumer Privacy Act, it is still full speed ahead for Attorney General Xavier Becerra’s office.


SEC changes M&A rules for first time in 30 years


SEC Chair Jay Clayton says recent updates to M&A rules will enhance investor information and slash unnecessary costs, but critics argue the changes limit investor transparency and better serve larger corporations.


U.S. takes aim at China with stock delisting bill


The “Holding Foreign Companies Accountable Act,” passed unanimously by the Senate and now headed to the House, looks to rein in accounting improprieties of Chinese-based companies listed on the U.S. Stock Exchange.


Coronavirus has made CW2020 a (virtual) gathering like no other


The coronavirus pandemic has made getting together for our annual National Conference impossible, but it’s also made this virtual gathering (Monday and Tuesday) perhaps the most important one we’ve ever had.


Nine AGs sue EPA over non-enforcement policy


A coalition of nine attorneys general filed a federal lawsuit against the EPA in response to the agency’s policy that it will stop enforcing requirements under a wide range of federal environmental laws during the coronavirus pandemic.


Amazon shuttered in France over COVID-19 emergency costs


E-commerce giant Amazon has shut up shop in France because the cost of compliance with the country’s COVID-19 emergency measures is deemed to be too high.


House committee seeks to claw back PPP loans, singles out five companies


A House committee is demanding that large public companies that accepted Paycheck Protection Program loans meant for small businesses return them immediately.

Aaron Nicodemus

The seven worst compliance fails of the coronavirus pandemic


Compliance and ethics fails during the coronavirus pandemic have done more than hurt companies’ images. They’ve cost lives.

diligent 300x200_new

CPE Webcast: How proactive governance reduces reactive compliance

2020-05-05T14:00:00+01:00Provided by

The compliance landscape is constantly evolving, and internal or external obligations may be overlooked. The more reactive the compliance team finds itself being, the harder it becomes to be proactive and strategic.


Senate Republicans to introduce contact tracing privacy bill


Senate Republicans say they will soon introduce a coronavirus-specific data privacy bill that would create regulations under the FTC for companies collecting personal data to fight the ongoing pandemic.


Compliance personnel face risks and rewards as SEC whistleblowers

2020-04-30T15:17:00+01:00By Erika A. Kelton, Compliance Week Guest Columnist

These best practices will guide compliance practitioners turned whistleblower through the process of reporting wrongdoing while protecting themselves from harm.


CFTC Commissioner Quintenz won’t seek second term


Brian Quintenz, one of five commissioners at the CFTC, announced he won’t seek renomination to a second five-year term and will depart the agency by the end of October.


Mnuchin rips Lakers, fumes over public companies receiving coronavirus loans


Reacting to news the NBA’s Los Angeles Lakers received a coronavirus aid loan meant for small businesses, U.S. Treasury Sec. Steven Mnuchin said Tuesday all such loans over $2 million will be audited and some companies could face criminal liability.


CPE Webcast: Managing regulatory change through innovation

2020-04-28T14:33:00+01:00Provided by

In a rapidly changing world of rising regulatory and operational complexity, how does a compliance department stay one step ahead in ensuring awareness and alignment to the latest guidance by every employee?


Preparing for the compliance caveats that accompany CARES Act, PPP

2020-04-23T15:40:00+01:00By Kim Koster, Compliance Week Guest Columnist

Regardless of the government relief program, companies that are able to provide clear, thorough, and timely compliance data and documentation will put themselves in the best position to secure the relief they need.

Big business, small business

Did Goliath steal David’s money in first round of business rescue funds?


Even as Congress works to refill a federal loan fund meant to help small businesses survive coronavirus shutdowns, some large, publicly traded companies are taking heat for receiving the loans.

Europe coronavirus

Don’t count on European regulators to relax rules during coronavirus crisis


European businesses may be putting themselves at risk because they mistakenly believe regulators are prepared to loosen the rules so companies can operate more easily as the coronavirus pandemic lingers on.

complianceline corona img

e-Book: Coronavirus impact on the regulatory climate

2020-04-14T20:31:00+01:00Provided by

As both the regulatory landscape and the “new normal” for businesses evolves in the wake of the coronavirus pandemic, one thing remains certain: An ethics-first mindset will always keep your company pointed in the right direction.

Financial fraud

Pandemic, government money create perfect storm for financial fraud


A global pandemic, an unprecedented flow of government money, and a weakening of lending controls could create a perfect storm of opportunity for fraudsters.