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Compliance Reporting Requirements

Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory violations. ... more +
Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory violations.  In response to many corporate scandals evidencing rampant unethical business practices, many nations, including the United States, began passing strict regulatory frameworks aimed at curbing these abuses. Notable pieces of legislation in this area include the U.S. Foreign Corrupt Practices Act (FCPA), Sarbanes-Oxley (SOX), and the U.K. Bribery Act, to name a few. The foregoing statutes and the severe penalties often associated with them form the basis of many modern institutional compliance programs. less -
Alston & Bird

EU-wide Breach Notification Template on the Horizon

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Following their recent meeting in Finland, the EU Data Protection Authorities acting through the European Data Protection Board (EDPB) announced their intention to release new tools and ran EU-wide data breach notification...more

Akin Gump Strauss Hauer & Feld LLP

CARB Publishes FAQs: More Questions than Answers?

In its latest move to provide companies and other stakeholders with much needed guidance regarding the implementation of California’s climate-related disclosure regime, the California Air Resources Board (CARB) has unveiled a...more

The Volkov Law Group

NAVEX’s 2025 Hotline Benchmark Report

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NAVEX dominates the hotline market. Given its global footprint, NAVEX has access to a large database of employee reports. Building on this unique perspective, NAVEX provides an annual report analyzing the employee reporting...more

Morrison & Foerster LLP

Reminder: Prepare for EDGAR Next

On September 27, 2024, the U.S. Securities and Exchange Commission (the SEC) adopted amendments to Regulation S-T, resulting in major changes to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) System for SEC...more

Kelley Drye & Warren LLP

Simplified Option for Correcting Certain Retirement Plan Failures

Earlier this year, the U.S. Department of Labor (“DOL”) amended its Voluntary Fiduciary Compliance Program (“VFCP”) to provide retirement plan sponsors with a simplified option for correcting certain specified prohibited...more

Carey Olsen

CRS 2.0 amendments to the OECD’s Common Reporting Standard

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The Common Reporting Standard (CRS) was developed by the Organisation for Economic Co-operation and Development (OECD) to promote tax transparency by enabling tax authorities in one jurisdiction to receive information...more

Ropes & Gray LLP

UK Parliament Committee Recommends Significant Expansion of Corporate Forced Labor Compliance Obligations

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On July 25, the UK Parliament’s Joint Committee on Human Rights issued its report Forced Labour in UK Supply Chains. This 99 page report explores forced labor in UK supply chains and makes recommendations for addressing the...more

Proskauer - Regulatory & Compliance

Tougher UK Sanctions Penalties on the Horizon as Consultation is Launched

On 22 July 2025, the UK’s Office of Financial Sanctions Implementation (“OFSI”) published a consultation paper proposing significant reforms to its civil enforcement processes. The proposals aim to enhance the effectiveness,...more

ArentFox Schiff

Medicare 2026 Proposed Rules, Major Drug Pricing Updates, and What Stakeholders Need to Know

ArentFox Schiff on

Every July, the Centers for Medicare & Medicaid Services (CMS) publishes two proposed rules that set Medicare reimbursement and shape the administration of the Medicare Part B program for the upcoming calendar year. These...more

Latham & Watkins LLP

FinCEN Postpones New AML Rule for Investment Advisers

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On July 21, 2025, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced that it intends to postpone the effective date of the final rule concerning the Anti-Money Laundering/Countering...more

Dickinson Wright

Ohio’s Cyber Law For Local Governments: 5 Steps Over 75 Days to Meet the September 29 Deadline

Dickinson Wright on

In its FY 2026 budget, Ohio quietly folded in a sweeping cybersecurity mandate that will require every “political subdivision” to have a cybersecurity program that aligns with recognized industry frameworks and adopt strict...more

Seward & Kissel LLP

FinCEN Postpones Investment Adviser AML Requirements, Buying Time for Revisions

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On July 21, 2025, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) announced that it was delaying the effective date of its final rule establishing Anti-Money Laundering/Countering the Financing...more

Wiley Rein LLP

Democrats on House Arms Sales Task Force Introduce Bill to Prevent Use of U.S. Weapons in War Crimes

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WHAT:The House Foreign Affairs Committee’s Arms Sales Task Force introduced a bill called the Silver Shield Operational End Use Monitoring Act (Silver Shield Act of 2025) to monitor whether U.S. defense articles are used to...more

Paul Hastings LLP

From Burden to Balance: UK Moves to Streamline NSIA Regime

Paul Hastings LLP on

On 22 July 2025, the UK Cabinet Office announced a package of proposed reforms to the National Security and Investment Act (NSIA) 2021 aimed at streamlining the regime and easing the burden facing businesses who trigger NSIA...more

K&L Gates LLP

United States: AML Reprieve for Investment Advisers

K&L Gates LLP on

On July 21, 2025, the Financial Crimes Enforcement Network (FinCEN) announced that it is delaying the effective date of the investment adviser anti-money laundering rule (IA AML Rule) for two years from 1 January 2026 to 1...more

Proskauer Rose LLP

A Securities and Exchange Commission (SEC) Analisará os Critérios de Elegibilidade para Emissores Privados Estrangeiros (Foreign...

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Empresas latino-americanas com valores mobiliários registrados nos Estados Unidos, ou que pretendem registrá-los, devem ficar atentas. A SEC (Comissão de Valores Mobiliários dos EUA) publicou um “concept release” propondo...more

Procopio, Cory, Hargreaves & Savitch LLP

When Must Private Fund Managers File as an Exempt Reporting Adviser in California?

Some private fund managers in California face potentially dire consequences if they fail to properly register with the state and the U.S. Securities and Exchange Commission (SEC). Failing to adhere to relevant securities laws...more

Ropes & Gray LLP

Seeing the Forest for the Trees: Further Changes to the EU Deforestation Regulation are Likely

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The EU Deforestation Regulation (EUDR) covers cattle, cocoa, coffee, oil palm, rubber, soy(a) and wood, as well as many derived products. The Regulation is currently scheduled to apply to operators and traders beginning at...more

Mitchell, Williams, Selig, Gates & Woodyard,...

112(r)/Air Enforcement: U.S. Environmental Protection Agency and Santa Ana, California Chemical Supplier Enter into Expedited...

The United States Environmental Protection Agency (“EPA”) and Gallade Chemical, Inc. (“GCI”) entered into a July 11th Expedited Settlement Agreement (“ESA”) addressing alleged violations of the regulations implementing...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: July 22, 2025, The I-9 Hell Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance...more

Skadden, Arps, Slate, Meagher & Flom LLP

Tell Us Something We Don’t Know: The DOJ Antitrust Division Is Now Rewarding Whistleblowers

- What is new: DOJ’s Antitrust Division announced its Whistleblower Rewards Program, which offers up to 30% of criminal fines over $1 million to individuals reporting original information about eligible antitrust and related...more

DLA Piper

CHINA: DPOs Must Be Registered Before 29 August 2025

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While appointing and registering a DPO has been mandatory in China for many years, a portal has now finally been established for organisations to register those DPOs with the China data protection authority. This resolves...more

Amundsen Davis LLC

Illinois Prevailing Wage Update: Failure to Timely File a Certified Payroll Means Individual Liability, Debarment, and Financial...

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The Illinois Prevailing Wage Act (IPWA) is a union-backed law that places enormous burdens on construction contractors, developers, property owners, and public bodies throughout Illinois. It’s extraordinarily confusing,...more

ArentFox Schiff

Have You Enrolled in EDGAR Next? Enrollment Deadline Approaching

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In September 2024, the US Securities and Exchange Commission (SEC) adopted rule changes to its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) file access and account management system (EDGAR Next), which went into...more

Mayer Brown Free Writings + Perspectives

SEC Continues Focus on Regulation A

In what may be indicative of the Securities and Exchange Commission’s renewed focus on small business capital formation, one of the topics that the staff (the “Staff”) of the Commission’s Division of Corporation Finance (the...more

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