The Clock is Ticking on SMCR Compliance UK firms have less than six months left to ensure they comply with the new Senior Managers and... READ MORE
Track Insiders in Compliance with Market Abuse Regulations Technology makes keeping material non-public information (MNPI) in compliance with securities laws... READ MORE
There's a New Anti-Corruption Sheriff in Town Earlier this year, the U.S. Commodity Futures Trading Commission (CFTC) announced for the first... READ MORE
C-Suite Involvement Crucial to Compliance Program Sucess Integrating the compliance function into an organization’s C-Suite not only improves crisis... READ MORE
SEC Issues New Conflict Rules Amid Praise and Criticism The U.S. Securities and Exchange Commission (SEC) approved new conflict of interest rules for... READ MORE
DOJ Still Trying to Figure Out FCPA When it comes to enforcing the Foreign Corrupt Practices Act (FCPA), the U.S. Department of Justice... READ MORE
ACC's FCPA Compliance Top 10 - 3 Things You Should Know The Association of Corporate Counsel (ACC) published an article in May focusing on the top ten... READ MORE
Telefonica Brasil Case Underscores G&E Risks Telefônica Brasil recently agreed to pay the U.S. Securities & Exchange Commission (SEC) more than... READ MORE
Three Steps to an Effective COI Compliance Program Chances are your organization has developed a conflict of interest (COI) policy. But does it have... READ MORE
