Tag Archives: Compliance

OCIE head highlights key compliance considerations, potential internal controls enhancements

By Amy Leisinger, J.D. In recent remarks, the SEC’s Office of Compliance Inspections and Examinations Director Peter Driscoll urged chief compliance officers and firms on the whole to remain vigilant in their efforts to protect investors. According to the director, … Continue reading

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OFAC Strongly Encourages Companies to Develop and Implement an Effective Sanctions Compliance Program

On May 2, 2019 US Department of Treasury’s Office of Foreign Assets Control (OFAC) published “A Framework for OFAC Compliance Commitments” (the Framework), which provides a specific outline of what OFAC considers to be essential elements of an effective sanctions … Continue reading

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LawFlash: DOJ Stresses Effectiveness in Corporate Compliance Programs

In its updated guidance issued on April 30, the US Department of Justice Criminal Division places effectiveness at the epicenter of its factors to be utilized when evaluating a company’s compliance program in the context of a criminal investigation. Read … Continue reading

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LawFlash: DOJ Says Corporate Compliance Programs Must Be Truly Effective

In its updated guidance issued on April 30, the US Department of Justice Criminal Division places effectiveness at the epicenter of its factors to be utilized when evaluating a company’s compliance program in the context of a criminal investigation. Read … Continue reading

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LawFlash: Updated Guidance from DOJ Puts Effectiveness at Center of Corporate Compliance Programs

In its updated guidance issued on Tuesday, the US Department of Justice Criminal Division places effectiveness at the epicenter of its factors to be utilized when evaluating a company’s compliance program in the context of a criminal investigation. Read more … Continue reading

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