Articles

Results 1 to 5 of 70
Most popular |Most recent


Five Keys to a Successful Compliance Risk Assessment

USA - April 5 2021 Corporate compliance programs are expected to be tailored to an organization’s unique risks. Most regulators (and most modern organizational…

J. Scott Maberry.

SEC Commissioner Calls for a Brave New Approach to Corporate Penalties

USA - March 18 2021 During a March 9, 2021 industry conference, one of the four current U.S. Securities and Exchange (“SEC”) commissioners floated a new approach to…

Meilissa Mikail.

FinCEN Provides Clarity for Section 314(b) Information Sharing

USA - December 22 2020 On December 10, 2020, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a Fact Sheet clarifying the…

Bochan Kim.

CFTC’s Enforcement Division Announces Record-Breaking 2020 and Outlines Priorities for 2021

USA - December 3 2020 On December 1, 2020, the Commodities Futures Trading Commission (CFTC) Division of Enforcement published its annual report for Fiscal Year 2020…

OCIE Director Instructs Advisers to Empower Chief Compliance Officers

USA - November 30 2020 On November 19, 2020, Peter Driscoll, director of the Office of Compliance Inspection and Examination (“OCIE”) of the Securities and Exchange…

Bochan Kim.