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K&L Gates LLP

The SEC Fines Stand-Alone Adviser for Off-Channel Communications

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Overview - On 3 April 2024, the US Securities and Exchange Commission (the SEC) announced the first settlement with a stand-alone registered investment adviser for, among other things, failures to maintain and preserve...more

NAVEX

Why Keeping Your Workforce Informed is an Odyssey (But Not an Impossible One)

NAVEX on

Let's face it, navigating the landscape of HR policies and compliance regulations can feel like wandering through a labyrinth blindfolded. For HR and Compliance professionals, ensuring employees have access to the knowledge...more

Bracewell LLP

Personal Devices and Messaging Platforms in the Workplace: Tips, Tactics and Best Practices for In-House Counsel

Bracewell LLP on

Federal regulators have cracked down on the use of texts messages and messaging platforms for business communications, using their broad authority to root out record retention violations, resulting in significant fines and...more

American Conference Institute (ACI)

[Webinar] Setting the Record Straight on AI & ML for Legal and Compliance: What They Are – and Aren’t – and the Lesser-Known Risks...

American Conference Institute (ACI) on

During this highly anticipated webinar, legal and forensic experts will provide invaluable takeaways on the risks, benefits and best practices for leveraging artificial intelligence and machine learning for your compliance...more

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