This check card is a printable resource with practical advice for the dos and don'ts of whistleblowing compliance.
This QuickCounsel is a preliminary overview of how end-users might prepare for regulatory-driven changes in the derivatives markets. As a simplified roadmap for end-users, it is not exhaustive, ...
This QuickCounsel provides a brief summary of CMBS transactions, relevant portions of the Rule, and the wide impact the Rule is expected to have on CMBS lending practices generally.
Hear ACC members discuss how the in-house compliance function is evolving, and what factors drive this evolution. Length: 5 minutes.
Trend Watch - Emerging Compliance Risks That Will Impact Your Program
The SEC is ready to tap its Investor Protection Fund — the IRS recently awarded $104 million to an ex-banker for providing information related to an international tax case. Companies and their counsel ...
Never has there been a more complex time in the US energy regulatory regime. This program will be an interactive discussion among in-house counsel at companies in energy (energy companies, hedge ...
In this session, we will cover important recent U.S. Securities Exchange Commission (SEC) developments, rulemaking and enforcement trends. We will update our Dodd-Frank scorecards and review the ...
Executive compensation remains a hot issue. This program will discuss the following: (1) proxy advisors say-on-pay assessment process and voting outcome; (2) lawsuits claiming breach of fiduciary ...
Hot topics covered include Dodd-Frank whistleblower regulation, Foreign Corrupt Practices Act, and data privacy issues and regulations both domestic and global.
Internal investigations may present the most “entity threatening” risk to the company and potential liability and pitfalls for in-house lawyers. Lawyers are not trained investigators and yet are ...
Deep within the Dodd-Frank Act lies a surprise for companies that use tin, gold, tungsten or tantalum in their products: a requirement to disclose whether you use these minerals and, if so, whether ...
This article asks key questions concerning your what strategies counsel should pursue to implement effective internal compliance measures and blunt the effects of the Dodd-Frank Act.
This sample resource contains a spreadsheet with the requirements of an effective compliance and ethics program under the federal sentencing guidelines.
This resource contains a spreadsheet outlining the section-by-section listing of the CFTC and SEC Regulatory Actions to Implement Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection ...
This article discusses the proposed SEC provisions regarding conflict minerals, which hinges on a 3-step process.
Reviews various whistleblower provisions in Dodd-Frank, the False Claims Act,
Sarbanes-Oxley, under IRS regulation, OSHA, state statutes, and sentencing guidelines.
A detailed list of issues facing derivatives users when considering the Dodd-Frank Title VII update.
The guidelines and policy statements in this chapter apply when the convicted defendant is an organization. Organizations can act only through agents and, under federal criminal law, generally are ...
What could be more unpleasant than the shriek of a whistle? Try knowing that one of your employees has reported your company for violations of securities laws. New bounty provisions to the Dodd-Frank ...