Topic
Compliance Issues
9 published works
Through The Immigration Lens
DHS Ends TPS Ethiopia: Staying Compliant in a Changing Environment
By: Dawn M. Lurie, Alexander J. Madrak, and Selene Malench* DHS cites improved country conditions as grounds for ending Temporary Protected Status (TPS), leaving employers to again navigate compliance challenges…
Money Laundering Watch
How Chinese Money Laundering Networks Are Powering Mexican Cartels: Key Risks and Compliance Strategies for Financial Institutions
On August 28, 2025, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) released an advisory (FIN-2025-A003) alongside a comprehensive Financial Trend Analysis (“FTA”), shining a spotlight on…
Canadian Lawyer Mag
Corporate legal departments feel the strain of new compliance challenges: Thomson Reuters research
Compliance is now the top priority for corporate law departments
Corporate & Financial Weekly Digest
OCIE Issues Risk Alert on Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P
By Susan Light, Katten Muchin Rosenman LLP
On April 16, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission issued a Risk Alert providing a list of compliance issues related to Regulation…
Broker- Dealer Law Corner
FINRA’s Exam Guidance Is A Big Yawn
By Alan Wolper, UB Greensfelder
As promised, FINRA has released its first Report outlining common findings from its examinations, in an effort to help member firms comply with the rules and, presumably, avoid problems that…
Corporate and Securities Law
OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers
Inside the False Claims Act
Practical Tips to Prevent Whistleblowers
By Matt Curley
Matt Curley was interviewed by Becker’s Hospital Review in connection with an article dated February 10, 2016, about how healthcare providers can take practical steps to reduce the risk of…
Healthcare Law Insights
Brian Bewley Chairs HCCA Midwest Regional Conference
Last week, our own Brian Bewley chaired the HCCA Midwest Regional Conference in Overland Park, Kansas. The conference addressed current compliance issues such as the compliance officer's evolving role, RAC…
InsureReinsure
Compliance and Claims Issues for Foreign (Re)insurers Arising from the Chile Earthquake
On April 12, 2010, Machua Millett of EAPD's Insurance and Reinsurance Department provided a brief webcast concerning compliance and claims issues arising from the Chile Earthquake.