In recent years, the global economy has witnessed significant growth in the financial sector, with the emergence of new products and services catering to a wide range of clients. This simple issue ...

These procedures have been developed to provide guidance concerning compliance with the Foreign Corrupt Practices Act ("FCPA") and the Rochester Institute of Technology's ("RIT" or "Institute") FCPA ...

* What compliance policies and procedures were in place to prevent or identify the issue? The CFPB has given companies a relatively short timeframe to respond to complaints submitted through the ...

In the highly regulated world of life sciences, quality isn’t a box to check—it’s a business imperative. For global ...

On Nov. 1, the Office of the Comptroller of the Currency (OCC) published a revised interagency examination procedure to address updates to the federal Telephone Consumer Protection Act (TCPA).

RIAs are subject to stringent compliance policies and procedures – fiduciary obligations, disclosure rules, and exams and inspections, to name a few. Often, meeting these requirements eats into the ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

The Internal Revenue Service has issued new procedures to help nonresident U.S. taxpayers, including dual Canadian citizens, comply with U.S. tax laws even if they have previously undeclared foreign ...

Sponsored Research Services recognizes the burden of completing forms, both institutional and agency-specific, as well as the process of gathering multiple approvals prior to submission of a proposal.

A New York-based investment advisory firm and its chief executive officer were fined a total of $100,000 by the Securities and Exchange Commission (SEC) for failing to adopt and implement policies and ...