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New Guidance › Cooperative Compliance Regime

Gordon Rees Scully Mansukhani

SEC No-Action Letter and Compliance Guidance Establish New Accredited Investor Verification Standard

Gordon Rees Scully Mansukhani on

In response to a request for no-action submitted by the law firm Latham & Watkins on March 12, 2025 (No-Action Letter), the Securities and Exchange Commission (SEC) Division of Corporation Finance’s staff (Staff) provided new...more

Conn Kavanaugh

“Corporate Citizen, Police Thyself”: How the DOJ Is Changing Its Corporate Enforcement Policy to Encourage Self-Policing

Conn Kavanaugh on

Self-Reporting Remains a Major Focus - Few executives expect to interact with the Department of Justice (DOJ) during their careers, but the current DOJ has given companies some homework, and the assignment applies to...more

Society of Corporate Compliance and Ethics...

CEP Magazine - December 2022. Good things happen when enforcement listens

Society of Corporate Compliance and Ethics... on

CEP Magazine - December 2022 - In September, U.S. Department of Justice (DOJ) Deputy Attorney General Lisa O. Monaco announced new guidelines the department will use in connection with criminal enforcement. Those...more

Stikeman Elliott LLP

FSRA Releases Draft Guidance on Incorporating CISRO’s Principles of Conduct for Insurance Intermediaries Into Its Regulatory...

Stikeman Elliott LLP on

On April 6, 2022, the Canadian Insurance Services Regulatory Organization (“CISRO”) adopted the Principles of Conduct for Insurance Intermediaries (“Principles”). In conjunction with that announcement, the Financial Services...more

Jones Day

FinCEN Issues First U.S. Priorities for Anti-Money Laundering and Counter-Terrorism Financing

Jones Day on

On June 30, 2021, FinCEN announced the first set of government-wide AML/CFT Priorities, as required by the Anti-Money Laundering Act of 2020 ("AML Act"). Consistent with the National Strategy for Combating Terrorist and Other...more

Herbert Smith Freehills Kramer

NY Regulatory Guidance on AI Illustrates Compliance Challenges

Herbert Smith Freehills Kramer on

The New York Department of Financial Services’ (DFS) January 2019 insurance circular letter, which advised New York-licensed life insurance carriers on the use of external consumer data and information sources in...more

Troutman Pepper Locke

New DOJ Guidance Instructs Corporations on Hallmarks of an Effective Compliance Program

Troutman Pepper Locke on

On April 30, the Criminal Division of the Department of Justice released an update to the Fraud Section’s February 2017 guidance document titled “Evaluation of Corporate Compliance Programs.” ...more

Bricker Graydon LLP

DOJ updates guidance on evaluating the effectiveness of corporate compliance programs

Bricker Graydon LLP on

On April 30, 2019, the U.S. Department of Justice (DOJ) released updated guidance detailing how prosecutors will evaluate corporate compliance programs in charging and resolving criminal cases....more

Littler

Department of Justice Releases Guidelines for Effective Corporate Compliance Programs

Littler on

On May 1, 2019, the Criminal Division of the U.S. Department of Justice (DOJ) released updated guidance for prosecutors to utilize in assessing whether an organization had in place “an adequate and effective corporate...more

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