Best Practices Archives - Page 2 of 5

Category: Best Practices

SEC 2022: Prepare for Novel and More Aggressive Enforcement

Posted On Thursday, January 6, 2022 At 4:30PM

Takeaway: Be prepared for novel and more aggressive enforcement actions from the SEC in 2022 with a tougher oversight agenda on: first-of-its-kind, insider trading, crypto, targeted individuals,...

DOJ Increases Scrutiny on Corporate Compliance Programs

Posted On Friday, December 10, 2021 At 2:17PM

Takeaway: With corporations facing increased scrutiny by the DOJ’s heightened compliance policy, it is more important than ever to have a robust compliance program to detect and prevent...

Corporate Culture Matters: Renewed Commitment to Compliance

Posted On Wednesday, November 10, 2021 At 8:25PM
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Takeaways: Relying on old and new guidance, the Department of Justice will consider the following when addressing misconduct by corporate entities: Disclosure of ALL information about...

The SEC Will Require Admissions of Wrongdoing to Build Back Trust in America’s Institutions

Posted On Thursday, October 21, 2021 At 7:04PM
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Takeaways: The SEC’s Director of Enforcement plans to build back trust in America’s institutions “without fear or favor” by: Tackling misconduct by “Crafting Appropriate...

Biden Administration Increases Efforts in Corruption Fight

Posted On Wednesday, July 7, 2021 At 11:53AM
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Takeaway: Given the Biden Administrations National Security Study Memorandum, as well as the easing of the COVID-19 pandemic, it is now an opportune time for companies to review their compliance...

Beneficials Owners Be Aware

Posted On Monday, June 14, 2021 At 3:11PM
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Takeaway: In an effort to curtail corruption, President Biden’s new memorandum requires U.S. Companies to disclose their beneficial ownership to the Department of the Treasury. One...

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