Marshall Miller: New M&A-focused compliance guidance coming soon

At a GIR conference in New York City, the second-in-command in Deputy Attorney General Lisa Monaco’s office teased new M&A-focussed compliance guidance, discussed how the department will punish companies who break resolution …

FCA puts UK financial sector on notice over sanctions compliance

The UK financial regulator’s recent assessment of companies’ compliance with sanctions following Russia’s full-scale invasion of Ukraine should serve as a warning that enforcement activity will follow, London lawyers said.

Counsel Watch: Kirkland steps in to challenge SEC subpoena lawsuit

In the latest counsel watch, Kirkland is advising a company that is challenging the release of its identity to the Securities and Exchange Commission following a cyber-hack on its lawyers’ files.

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Covington must hand over seven client names in relation to hack

An SEC request to disclose client names will not break attorney-client privilege or exceed the agency’s statutory authority, a federal judge said.

Sujit Raman: “my team is often called upon to fill the gap”

Sujit Raman, Blockchain intelligence company TRM Labs’ chief legal officer, tells GIR about how recent enforcement actions have shaped his organisation’s approach to compliance, as well as the challenges he faces working …

Philip Smith: “Publish more data regarding voluntary self-disclosures”

The director of regulatory compliance at speaks to GIR about his organisation’s approach to compliance and investigations, and why he’d like to see enforcement agencies provide more information on cases that …

DOJ official: Compliance-promoting compensation is about more than just clawbacks

The public reaction to a new DOJ pilot programme incentivising companies to promote compliance via compensation packages has been too narrowly focused on clawbacks, a senior DOJ lawyer said.

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