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Corporate Governance › Electronic Communications › Corporate Communications

BCLP

SEC Off-Channel Communications Enforcement Sweep Continues - Settlements by 12 Firms and Assessments of Over $63 Million in...

BCLP on

On January 13, 2025, the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against twelve firms for recordkeeping failures related to off-channel communications – i.e., failure to maintain business...more

American Conference Institute (ACI)

Operationalizing the Revised ‘Evaluation of Corporate Compliance Programs’

American Conference Institute (ACI) on

While the U.S. Department of Justice’s Criminal Division published its fourth version of its “Evaluation of Corporate Compliance Programs (ECCP)” guidance more than six months ago now, the insights that in-house counsel and...more

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