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Summary of certain recent guidance from the Securities and Exchange Commission (the “SEC”) that is applicable to investment advisers and brokerdealers, namely: (i) an SEC
Now that 2013 has wrapped up, it is that time of year again when we dust off the compliance crystal ball and take a look
Each quarter, Sidley’s Securities & Derivatives Enforcement and Regulatory Practice publishes this review of recent developments in SEC enforcement and regulatory matters.
Deferred prosecution agreements (DPAs) are now available in the United Kingdom as a means of resolving criminal investigations of certain serious economic crimes other than
On November 14, 2012, a new Resource Guide to the U.S. Foreign Corrupt Practices Act (“Guidance”) was issued by the Department of Justice (“DOJ”) and
Late last month, the Securities and Exchange Commission (“SEC”) announced a non-prosecution agreement (“NPA”) with Ralph Lauren Corporation (“RLC”), through which the company must disgorge
Ethisphere Magazine is a premier publication dedicated to illuminating the crucial role of ethics in business practices. It offers in-depth insights and analyses on corporate ethics, compliance, and governance, featuring articles from industry experts and thought leaders. This magazine is a key resource for professionals seeking to stay informed about best practices, innovative strategies, and the latest trends in fostering ethical corporate cultures and responsible business conduct. Ethisphere Magazine stands as a beacon for those committed to maintaining the highest standards of integrity and ethical leadership in the business world.
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