Tag: SEC

Morrison & Foerster’s James Koukios and Amanda Aikman examine 10 ways in which the anti-corruption compliance landscape changed dramatically in ...

Given the far-reaching effects of the coronavirus pandemic, shareholder meeting season this year is far from business as usual. BDO’s ...

Eversheds Sutherland partners with Smarsh to focus on enforcement actions in key areas that are already presenting significant challenges to ...

SEC extends conditional exemptions from reporting and proxy delivery requirements for public companies, funds and investment advisers affected by coronavirus ...

Given the rapidly expanding use of collaboration platforms, like Cisco Webex, RingCentral, Slack, Zoom and Microsoft Teams, as well as ...

Comment letters from the SEC can come out of the blue, require a lot of work involving executive leadership and ...

How can I possibly certify that 100 percent of my third parties, including all customers and vendors, are 100 percent ...

Jeff Kaplan and Rebecca Walker inaugurate what will be a regular column on compliance & ethics program assessments. Most of ...

Whistleblowing is on the rise and may gain further traction from recent stories in the news, increasing the burden on ...

DOJ Office of Public Affairs (December 6, 2019) -- Telefonaktiebolaget LM Ericsson (Ericsson or the Company), a multinational telecommunications company headquartered ...

In multiple recent cases, it seems the DOJ has softened its approach on charging self-disclosing companies for FCPA crimes involving ...

Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the ...