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Employee Training Policies and Procedures Compliance

Foley & Lardner LLP

Five Compliance Best Practices for … Internal Controls and SOPs

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As an accompaniment to our biweekly series on “What Every Multinational Company Should Know About” various international trade, enforcement, and compliance topics, below find an update to our series on compliance checks that...more

Guidepost Solutions LLC

DOJ Has Issued New Compliance Guidance. Now What?

On September 23, 2024, the U.S. Department of Justice (“DOJ”) released updates to its Evaluation of Corporate Compliance Programs (“ECCP”) guidance. In a move that surprised no one (especially if companies have been reading...more

Lippes Mathias LLP

The Proposed OSHA Heat Standard: Key Changes and Responsibilities for Employers

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Recently, the Occupational Safety and Health Administration (OSHA) officially published its long-awaited rule proposal to establish a workplace heat standard to address a leading cause of weather-related deaths in the U.S....more

Harris Beach PLLC

Using AI? Tips for Avoiding DOJ Investigations

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When corporations use Artificial Intelligence (AI) programs, they should be sure to use them in a manner that doesn’t result in the Department of Justice knocking on their door. The DOJ just released an updated version of its...more

Mitratech Holdings, Inc

People and Policy: Building Compliance and Ethics into Your Company’s DNA

It’s not enough to have the right policies in place — you have to embed those policies into the fabric of your organization. In today’s fast-paced and interconnected business world, ensuring compliance and building an...more

Foley & Lardner LLP

Five Compliance Best Practices Every Multinational Company Should Consider for … Drafting Clear Compliance Dictates

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As an accompaniment to our biweekly series on “What Every Multinational Company Should Know About” various international trade, enforcement, and compliance topics, below find an update to our series on compliance checks that...more

NAVEX

The Value of a Platform Approach to Compliance

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Think of it as the compliance version of The Butterfly Effect – a small, unnoticed, action, or failure to act, somewhere in the organization that balloons over time into a much larger, material issue. Maybe an employee is...more

Foley & Lardner LLP

Learn About Data Privacy and How to Navigate the Information Security Regulatory Landscape

Foley & Lardner LLP on

Insights for this month’s article are provided by ARDA members Gregory Szewczyk, partner at Ballard Spahr Practice Leader of the firm’s Privacy and Data Security Group, and Aaron Tantleff, partner in Foley & Lardner’s...more

Ervin Cohen & Jessup LLP

Workplace Violence Prevention Plans and Trainings Must be Implemented by July 1

If you missed our last reminder, there is less than a week for most California employers to finalize and implement Workplace Violence Prevention Plans (“WVPP”) and have their employees trained on the company-specific policies...more

The Volkov Law Group

Deadline for CA Employers to Adopt New Workplace Violence Prevention Plans Approaches

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Organizations with operations in California are reminded of the upcoming July 1, 2024 deadline to comply with the provisions of S.B. 553—a bill that was signed into law by Governor Gavin Newsom on September 20, 2023,...more

Rumberger | Kirk

Understanding How Generative AI Can Affect Your Business' Data Privacy And Ownership Is Crucial

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“In assessing a generative AI product, it is critical to understand issues of data ownership and privacy. This cumbersome task is necessary to learn how the AI platform will use data, if the data shared is entering an open or...more

Seward & Kissel LLP

FinCEN Proposes AML Requirements for Certain Investment Advisers

Seward & Kissel LLP on

On February 13, 2024, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) issued a notice of proposed rulemaking (the “Proposed Rule”) that would subject registered investment advisers (“RIAs”) and...more

American Conference Institute (ACI)

[Event] Mexico Summit on Anti-Corruption & Compliance Program - March 13th - 14th, Mexico City, Mexico

ACI’s Mexico Summit on Anti-Corruption & Compliance Programs returns on March 13-14, 2024 in Mexico City! Given the uncertainty with the looming Presidential election, as well as increased U.S. enforcement focus on Mexico...more

Goodwin

A Practical Look at OIG’s New Compliance Guidance

Goodwin on

On November 6, 2023, for the first time in 15 years, HHS OIG issued a new reference guide for the health care compliance community – the General Compliance Program Guidance, or GCPG. While the GCPG does not set new legal...more

Walkers

AML update: regulatory expectations in respect of beneficial ownership & control

Walkers on

The Jersey Financial Services Commission (the "JFSC") recently published feedback from its 2022 thematic examination on the extent to which supervised persons complied with their regulatory obligations with respect to...more

Dunlap Bennett & Ludwig PLLC

The Role Of A Cybersecurity Law Firm In Safeguarding Digital Assets

In today’s digital landscape, organizations face numerous cybersecurity threats that can compromise their valuable digital assets, including their data, IT infrastructure, networks, software, and intellectual property (IP)....more

K2 Integrity

SEC Division of Examination Risk Alert Highlights Deficiencies in Broker-Dealers’ AML Compliance Programs

K2 Integrity on

The U.S. Securities and Exchange Commission (SEC) is responsible for protecting investors and ensuring the integrity of the securities markets. As part of this mission, the SEC requires broker-dealers to comply with...more

Array

Does Your Litigation Hold Strategy Account for Remote Workers?

Array on

Google recently got in hot water over employees’ cavalier attitudes toward a litigation hold. The tech giant took a largely hands-off approach to preserving internal chats needed for discovery in a lawsuit. Google employees...more

Dechert LLP

SEC Division of Examinations Publishes Risk Alert Providing Observations from Broker-Dealer Examinations Related to Regulation...

Dechert LLP on

The Securities and Exchange Commission’s Division of Examinations (Division) issued a Risk Alert (Risk Alert) on January 30, 2023 highlighting deficiencies its Staff observed during recent Regulation Best Interest...more

Torres Trade Law, PLLC

DDTC Updates Compliance Program Guidelines and Guidance for U.S.

Compliance Program Guidelines - On December 5, 2022, the U.S. Department of State Directorate of Defense Trade Controls (“DDTC”) issued new Compliance Program Guidelines (“the Guidelines”) intended to provide an overview...more

Health Care Compliance Association (HCCA)

Compliance Today - February 2023. Training for the sentinels

I managed not to lose my temper when a training skeptic informed me that he wasn’t a fan of compliance training because “it’s not going to make a dishonest person do the right thing.” Indeed, I doubt anyone who previously had...more

NAVEX

IT and Corporate Compliance: Bridging the Gap in the Era of Remote and Hybrid Work

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In many ways, the COVID-19 pandemic has served as a prime example of punctuated equilibrium. Shifts that have been slowly building for decades seemingly occurred overnight, giving us the contradictory sense that these changes...more

NAVEX

ESG Compliance Training: Are You More Prepared Than You Think?

NAVEX on

Environmental, social and governance, more commonly referred to by its acronym ESG, is an umbrella term spanning many corporate activities. Notable ESG tasks or care-abouts include reporting, data gathering and efforts around...more

Oberheiden P.C.

Seven Points to be Aware of for Durable Medical Equipment Company Compliance

Oberheiden P.C. on

Durable medical equipment (DME) is particularly important for many Medicare beneficiaries. However, companies that manufacture and sell DME need to be careful because there are strict federal regulations outlining almost...more

Oberheiden P.C.

12 Keys to a Successful Corporate Compliance Program

Oberheiden P.C. on

Companies of all sizes and in any industry would need effective corporate compliance programs. An effective compliance program not only mitigates risk in terms of reducing the likelihood of mistakes that can lead to...more

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