• Conducting database screening for third party compliance

    Managing the compliance of third parties is a major undertaking for corporations. Many large companies have tens of thousands of partners globally; agents, distributors and sundry other types of suppliers. This is in addition to the myriad risks that must be managed, such as corruption, money laundering, export control management...

  • Major, Lindsey & Africa expands solutions practice group in EMEA region

    “EMEA is becoming increasingly more regulated, particularly in the area of privacy and compliance, along with other factors driving legal services such as M&A [mergers and acquisitions] and continued rise in traditional transactional work, that produce complex legal matters requiring on-demand talent sourcing,” Major, Lindsey & Africa’s Gregory Richter says.

  • Rotting from the top

    This has got to be one for the books.

  • Reaching out

    When companies want to expand globally, in-house legal departments need to be part of the process.

  • Comprehensively compliant

    Volkswagen is in the midst of an ethical and compliance nightmare after revelations surfaced about the company tampering with emissions software.

  • Vexing vendors?

    On April 13, 2012, the Consumer Financial Protection Bureau (CFPB) issued Advisory Bulletin 2012-03, which addresses vendor management rules and processes that are required to be used by supervised non-banks (See 12 U.S.C. §§ 5514-16). The bulletin requires covered non-bank consumer finance companies to develop and implement policies for risk...

  • The Yates Memo: Friend or foe to compliance officers?

    Last month, newly appointed Deputy Attorney General (DAG) Sally Quillian Yates spoke at New York University (NYU) School of Law about the Department of Justice’s ongoing focus on individual prosecutions. A seasoned prosecutor with a number of high-profile white collar cases under her belt, DAG Yates reminded the room...

  • Regulatory update

    The opening keynote featured Jessica Hopper, vice president, regional enforcement at FINRA; Meredith Fuchs, general counsel, Consumer Financial Protection Bureau; and Cicely LaMothe, associate director, Division of Corporation Finance at the Securities and Exchange Commission (SEC).

  • Avoiding the big surprise: Evaluating regulatory compliance prior to closing

    Evaluating regulatory compliance in the thick of a deal can be an art unto itself. Doing it well requires a critical look at the sophistication and risk maturity of the target company, as well as a deep dive into data demonstrating compliance with applicable regulatory standards.

  • Ethical considerations when advising a business regarding marijuana-related actives

    The analysis is different regarding a lawyer advising a client regarding marijuana-related activities. Rule 1.2(d) provides, “A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer knows is criminal or fraudulent . . . .” Unlike Rule 8.4(d), there is no...

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