Compliance News

Business Interest In Blockchain Picks Up While Cryptocurrency Causes Conniptions:

The Wall Street Journal | By: Kim S. Nash | February 06, 2018: Companies that move products and people through ...
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Swiss Regulator Censures Gazprombank After Panama Papers:

The Financial Times | February 01, 2018: Bank banned from taking new private clients over failings on money laundering checks ...
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FinCEN Notice 2017-1 ~ FBAR Filing Requirement For Certain Financial Professionals:

FinCEN | GPE – December 23, 2017: The Financial Crimes Enforcement Network (FinCEN) is announcing a further extension of time ...
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DOJ Gives Compliance Chiefs Powerful New Ally:

The FCPA Blog | By: Richard L. Cassin | December 22, 2017: The DOJ’s FCPA Pilot Program — giving companies ...
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9-47.000 ~ Foreign Corrupt Practices Act Of 1977:

Offices Of The United States Attorneys | GPE – December 22, 2017: This chapter contains the Department’s policy regarding investigations ...
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The Morning Risk Report ~ Cost Of Compliance — And Noncompliance — Rising:

The Wall Street Journal | By: Ben DiPietro | GPE – December 20, 2017: The cost of compliance for organizations ...
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Here Come The New EU Rules On Data Privacy:

The Wall Street Journal | GPE – December 20, 2017: Many U.S. companies may think they don’t have to worry ...
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31 CFR § 1020.230 ~ Certification Regarding Beneficial Owners Of Legal Entity Customers:

FinCEN | GPE – December 20, 2017: The US Department Of The Treasury, Financial Crimes Enforcement Network (FinCEN) have produced ...
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This One Weird Tax Trick Could Raise GDP, Shrink The Trade Deficit:

The Wall Street Journal | By: Greg Ip | December 18, 2017: GOP tax plan could lead companies to curb ...
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UK Regulator ~ Smart Machines Alone Can’t Defeat Money Laundering:

The FCPA Blog | By: Richard L. Cassin | December 11, 2017: Artificial intelligence will always be a “work in ...
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France Allows Use Of Blockchain To Trade Some Traditional Securities:

The Wall Street Journal | By: Sam Schechner & Patricia Kowsmann |December 08, 2017: New rule is latest mainstream effort ...
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EU Releases Tax Haven Blacklist:

The FCPA Blog | By: Richard L. Cassin | December 07, 2017: The European Union Tuesday named 17 countries and ...
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More Enforcement Risk For China Joint Ventures:

The FCPA Blog | By: Gwen Manseau and Jialin (Jackie) Zeng | November 29, 2017: Having recently toughened up its ...
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FINRA Fines J.P. Morgan For Thousands Of HR Due Diligence Failures:

The FCPA Blog | By: Richard L. Cassin | November 27, 2017: The Financial Industry Regulatory Authority fined J.P. Morgan ...
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SEC Statements On Cybersecurity; An EDGAR Hacking – Part 1

Legal & Compliance | By: Laura Anthony, Esq. | November 21, 2017: On September 20, 2017, SEC Chair Jay Clayton ...
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Glencore Upends Board Of Congo Unit Amid Probe:

The Wall Street Journal | By: Scott Patterson | November 20, 2017: Swiss commodity giant says weaknesses found in subsidiary’s ...
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Companies Face High Cost To Meet New EU Data Protection Rules:

The Financial Times | November 19, 2017: The world’s biggest companies will spend tens of millions of dollars to meet ...
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Boards Should Think Of Cyber A Bit More Like Bank Robberies, Former AT&T Security Chief Says:

The Wall Street Journal | By: Steven Norton | GPE – November 20, 2017: Corporate boards should think about cybersecurity ...
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Wells Fargo Feels Effect Of SEC Targeting Broker-Dealer Compliance:

The Wall Street Journal | By: Samuel Rubenfeld | November 15, 2017: Anti-money laundering enforcement of broker-dealers by the Securities ...
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Decoding GDPR Roles And Responsibilities:

MetricStream | Various Authors | GPE – November 15, 2017: Requirements for Data Processors, Data Controllers, and Data Protection Officers ...
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Will The EU Data Protection Rule Block Due Diligence?

The FCPA Blog | By: Robert Clark | November 13, 2017: Companies minimize the risk of corruption by adequately vetting ...
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Trudeau ~ Canadians In Paradise Papers Will Be Investigated:

International Consortium Of Investigative Journalists | By: Ryan Chittum | November 07, 2017: Canadian Prime Minister Justin Trudeau said the ...
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Inside The Secret World Of Offshore Mega-Trusts:

International Consortium Of Investigative Journalists | By: Spencer Woodman | November 07, 2017: Records reveal huge overseas hoards tied to ...
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“People With Significant Control” ~ Companies House Register Is Live:

UK Government | GPE – November 07, 2017: From today (30 June 2016) companies will have to declare who owns ...
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Is The SEC Targeting Foreign Companies?

The FCPA Blog | By: Richard L. Cassin | November 06, 2017: The SEC has a new chief to enforce ...
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China Declares War On Polluters ~ Shutters 40% Of Factories:

Clean Technica | By: Steve Hanley | October 28th, 2017: China is getting serious about curbing pollution. According to sources, ...
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SEC Sues Rio Tinto Over Claims It Misled Investors:

The Wall Street Journal | By: Dave Michaels | October 17, 2017: Miner valued Mozambique coal assets at $3 billion ...
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EU-U.S. Data Transfer Pact To Pass First Annual Review:

Reuters | By: Julia Fioretti | October 18, 2017: A year-old pact underpinning billions of dollars of transatlantic data transfers ...
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Researchers Uncover Flaw That Makes Wi-Fi Vulnerable To Hacks:

Reuters | By: Reuters Staff | October 16, 2017: Cyber security watchdogs and researchers are issuing warnings over risks associated ...
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Supreme Court To Consider Search Warrant Power In Microsoft Email Case:

The Wall Street Journal | By: Brent Kendall | October 16, 2017: Company argues U.S. search warrants don’t reach data ...
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Equifax’s Latest Security Foil ~ A Defunct Web Service:

The Wall Street Journal | By: Robert McMillan & AnnaMaria Andriotis | October 13, 2017: Visitors to company’s website were ...
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Equifax Hack Disclosed Driver’s License Data for More Than 10 Million Americans:

The Wall Street Journal | By: AnnaMaria Andriotis & Emily Glazer | October 10, 2017: Company also said file containing ...
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Anti-Bribery Guidance ~ Third Party Risk Management:

Transparency International UK | Global Anti-Bribary Guidance | GPE – October 10, 2017: Chapter 12 – Extract: Third parties can ...
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New Kid On The Blockchain ~ The Distributed Ledger And The Fight against Corruption:

Transparency International UK | By: Jane Smith | GPE – October 10, 2017: In the dystopian reality of many people’s ...
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7 Anti-Corruption Takeaways From OECD’s 2017 Integrity Forum:

Transparency International UK | By: Robert Barrington | GPE – October 10, 2017: This week, the OECD held its annual ...
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A Small Step For Anti-Corruption? Beneficial Ownership In The Overseas Territories:

Transparency International UK | By: Jameela Raymond | GPE – October 10, 2017: In 2016 the UK’s Overseas Territories (OTs) ...
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A Compliance Plan For FinCEN’s New Customer Due Diligence Rule:

The FCPA Blog | By: John Arvanitis | October 09, 2017: The Financial Crimes Enforcement Network’s Final Rule regarding customer ...
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SEC’s Corporate Filing System Vulnerable To Denial Of Service Attacks ~ Memo:

Reuters | By: Sarah N. Lynch & Jim Finkle | October 06, 2017: The U.S. Securities and Exchange Commission (SEC), ...
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Reinsurers Urged To Investigate Cedants Financial Profile:

Reinsurance News | By: Marianne Lehnis | October 03, 2017: Reinsurers could place lines of business at risk by failing ...
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Don’t Give In To Power Of Attorney Pressure:

FINRA | By: Pete Chandler | GPE – October 03, 2017: Pressure tactics and sound investing rarely, if ever, go ...
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