Kate Rumsey

Sheppard Mullin Richter & Hampton LLP

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Latest Posts › Self-Disclosure Requirements

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DOJ Announces Changes to Guidance on Corporate Compliance Programs, Updates on Whistleblower Program

In an address this week to the Society of Corporate Compliance and Ethics, Principal Deputy Assistant Attorney General Nicole M. Argentieri of the Department of Justice’s (“DOJ”) Criminal Division, highlighted several updates...more

9/26/2024 / Compliance , Corporate Governance , Department of Justice (DOJ) , Employee Training , Reporting Requirements , Self-Disclosure Requirements , Voluntary Disclosure , Whistleblower Protection Policies , Whistleblowers

Latest Round of SEC “Off-Channel” Communications Settlements Highlights Risks for Investment Advisers and Benefits of...

More than two years after announcing the first round of settlements in the ongoing “off-channel communications” probe, the SEC recently announced another round of settlements with 26 financial firms, totaling $390 million in...more

8/27/2024 / Broker-Dealer , Recordkeeping Requirements , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Securities Litigation , Securities Regulation , Self-Disclosure Requirements , Self-Reporting , Settlement , Voluntary Disclosure

Corporate Voluntary Self-Disclosure (VSD) of Criminal Activity: More of the Same or a Real Sea Change?

On February 22, 2023, the U.S. Department of Justice (DOJ) announced a new nation-wide policy to incentivize companies to self-report criminal activity. Among the cited benefits of self-reporting are discounts on fines and...more

2/23/2023 / Corporate Counsel , Department of Justice (DOJ) , Enforcement Actions , Policies and Procedures , Self-Disclosure Requirements , Self-Reporting , White Collar Crimes

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