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Legal & Regulatory Updates

Keeping up with the ever-changing landscape of compliance regulations is one of the biggest challenges of our work. These updates will make that a little easier. Use the legal and regulatory feed to stay current on the latest news and regulations impacting the world of compliance.

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Climate Change Emerges as a Compliance Focus for SEC


Securities regulators are sharpening their focus on whether asset managers that tout funds as socially responsible are picking stocks that align with that cause, and whether the firms support environmentally-friendly policies at companies they have invested in.

U.K. Sanctions Enforcer Releases Updated Penalties Guidance


Updated guidance on monetary penalties by the United Kingdom’s sanctions enforcer this week provides more clarification on self-reporting and suggests the agency may adopt a more aggressive enforcement approach, compliance observers said.

SEC Warning Shot on Climate Disclosure


The acting head of the Securities and Exchange Commission has begun a major new push for companies to disclose more risks from climate change and other ESG issues as well.

Singapore: New PDPC Guidelines on Cloud Services and Data Access Requests


The Personal Data Protection Commission ("PDPC") revised Chapter 6 (Organisations) and Chapter 15 (Access and Correction Obligations) and introduced a new Chapter 8 on cloud services in the Advisory Guidelines on the PDPA for Selected Topics.

SEC Staff Publishes Guidance on Investment Adviser Disclosure of Financial Conflicts of Interest


The Division of Investment Management recently issued guidance on the obligation of investment advisers to disclose financial conflicts of interest in the form of Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation.

Ukraine Ratifies Agreement to Implement FATCA


On 29 October 2019, the Parliament of Ukraine ratified the Agreement between the Government of Ukraine and the Government of the United States of America to Improve International Tax Compliance and to Implement FATCA

Third Annual Privacy Shield Review Confirms EU Commission’s Adequacy Decision


The European Union Commission has issued a report on its findings from the third annual Privacy Shield review, which took place in September. In its report, the Commission confirmed that the EU-US Privacy Shield framework continues to ensure an adequate level of protection for personal data transferred from the EU to companies participating in the Privacy Shield program in the United States

Navigating US Extraterritorial Sanctions and Export Control Risks with a Nimble Compliance Program


Dealing with the compliance challenges presented by near daily new US sanctions and export controls requires a risk-based compliance program that addresses rapid change and mitigates increasing global enforcement risk, while still being practical and business friendly.