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FinCEN issues new Proposed Rule for registered investment advisers to implement AML program and report suspicious activities
  • Clifford Chance LLP
  • USA
  • August 26 2015

Today, the Financial Crimes Enforcement Network ("FinCEN") issued a notice of proposed rulemaking (the "Proposed Rule"). The Proposed Rule (available


KKR the first private equity adviser to be charged by the SEC with misallocation of broken deal expenses in breach of its fiduciary duty
  • Manatt Phelps & Phillips LLP
  • USA
  • August 5 2015

In the first SEC Enforcement action of its kind brought against a private equity adviser, on June 29, 2015, the SEC announced that KKR had agreed to


Examination and other regulatory developments
  • Ropes & Gray LLP
  • USA
  • August 4 2015

In recent remarks, Igor Rozenblit, the head of the Private Funds Unit at the U.S. Securities and Exchange Commission (the “SEC”) urged advisers


SEC enforcement action developments
  • Ropes & Gray LLP
  • USA
  • August 4 2015

Compliance Officer Awarded Over $1 Million as Whistleblower The SEC recently announced that it granted a whistleblowing award that will range from $1


The Financial Report June 25, 2015 - US Securities and Exchange Commission developments
  • DLA Piper LLP
  • USA
  • June 25 2015

The SEC issued an Order denying a motion for a stay of the Amendments for Small and Additional Issues Exemptions under the Securities Act (Regulation


Online health care, consumer data, cybersecurity risks, accounting fraud, patents Expect Focus Vol. II, Spring 2015
  • Carlton Fields Jorden Burt
  • Global, USA
  • June 17 2015

Large-scale data breaches have become increasingly common, bringing with them not only bad press and loss of customer goodwill


Securities and corporate governance litigation quarterly - April 27, 2015
  • Seyfarth Shaw LLP
  • USA
  • April 27 2015

The Supreme Court on March 24 issued its opinion in Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund


M&A due diligence FCPA & Goodyear
  • Barnes & Thornburg LLP
  • USA
  • February 27 2015

On Feb. 24, 2015, the SEC announced charges against Goodyear Tire & Rubber Company for violating the Foreign Corrupt Practices Act (FCPA). These


Goodyear’s settlement with the SEC emphasizes the importance of FCPA due diligence in M&A transactions and of having a robust anti-corruption policy
  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • USA
  • February 25 2015

On February 24, 2015, Goodyear Tire & Rubber Co. agreed to pay more than $16 million to settle charges that two of its subsidiaries allegedly paid $3


International regulatory update - 9 - 13 February 2015
  • Clifford Chance LLP
  • Australia, European Union, Germany, South Korea, USA
  • February 17 2015

The EU Council's Permanent Representatives Committee (COREPER) has agreed the EU Council's negotiating stance on the proposed regulation on indices