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Results:1-10 of 2,474

OSC Staff Notice Comments on Fund Manager Oversight of Related Party Service Providers
  • Fasken
  • Canada
  • August 29 2018

The Ontario Securities Commission released on August 23, 2018 (OSC Staff Notice). In the OSC Staff Notice, OSC staff identified that some investment


CFTC and NFA Announce Changes in Regulation Regarding Position Limits and Virtual Currency
  • K&L Gates
  • USA
  • August 20 2018

The Commodity Futures Trading Commission (“CFTC”), the U.S. federal regulatory agency for futures and other derivatives, and the National Futures


Disruptive innovation
  • Hill Dickinson LLP
  • USA, United Kingdom
  • August 3 2018

As the NHS has just celebrated its 70th Birthday, more and more of us will survive well beyond our own 70th birthdays. With medical advances meaning


How regulation could help cryptocurrencies grow
  • Jones Day
  • USA
  • July 18 2018

Ignorance may be bliss for some, but ask anyone in commerce or finance, and they will make it abundantly clear: Ignorance is risk. For that reason, U


Effective Compliance Programs Require a Commitment from the Top
  • Jackson Lewis PC
  • USA
  • July 12 2018

We follow the leader wherever we go, and that applies to compliance, as well. While federal and state laws require organizations to adopt compliance


Sessions’ Justice Department’s Pragmatic Approach to Corporate Accountability
  • Morvillo Abramowitz Grand Iason & Anello PC
  • USA
  • June 18 2018

Many of the administration's enforcement priorities may raise serious concerns for criminal defense lawyers and other champions of legal rights


Recent DOJ Physician Settlement On Laboratory Referrals Continues Trend of Individual Liability
  • Breazeale Sachse & Wilson LLP
  • USA
  • May 8 2018

The DOJ a announced on May 7th that three individual physicians have agreed to pay a total of $700,000 to settle alleged False Claims Act Violations


Treasury consults on Banking Executive Accountability Regime (Size of an Authorised Deposit-taking Institution) Determination 2018
  • Gilbert + Tobin
  • Australia
  • April 30 2018

The treasury has released an exposure draft and accompanying explanatory material to introduce the Banking Executive Accountability Regime (Size of an


Audit Committee Consultation
  • Squire Patton Boggs
  • USA, Global
  • April 26 2018

The International Organization of Securities Commissions (IOSCO) has published a consultation report inviting input to a possible Good Practices


DOJ Maintains Focus on FCA Enforcement against Individuals
  • McDermott Will & Emery
  • USA
  • April 19 2018

In September 2015, DOJ issued the well-known "Yates Memo" (named for then-Deputy Attorney General Sally Yates), which focuses on individual