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Policies and Procedures

NAVEX

How to Include Reports to Managers in Internal Reporting

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Compliance officers know that internal reports are the fuel upon which your compliance program runs – the more reports you receive, the better you understand the compliance issues within your organization and the faster you...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - July 7th - 10th, Singapore, Singapore

Ideal for practitioners who want to build strong foundational knowledge of compliance program management and how to apply that knowledge in practice. Attendees will come away better prepared to support, enhance, and manage a...more

Thomas Fox - Compliance Evangelist

FCPA Compliance Report: Kristy Grant-Hart on A 360° Review of the Future of Compliance

In this episode of the Diligent Compliance Week 2025 Speaker Preview Podcasts series, Kristy Grant-Hart discusses some of her panel at Compliance Week 2025, “A 360° Review of the Future of Compliance”. Some of the issues...more

Thomas Fox - Compliance Evangelist

Great Women in Compliance: Creating Space to Speak Up: The Story Behind Psst.org

In this episode, Hemma and Ellen visit Jennifer Gibson and Rebecca Petras, two of Psst.org’s three co-founders, to discuss Creating Space to Speak Up and the organization’s story. Together, they discuss revolutionizing...more

A&O Shearman

FCA findings on multi-firm review of customers in vulnerable circumstances

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published a webpage summarising the findings of its multi-firm review on retail banks' treatment of customers in vulnerable circumstances involving bereavement and power of...more

Gardner Law

From Paper to Practice: Compliance Policies that Work

Gardner Law on

In the FDA-regulated industry, a compliance program isn’t just a formality—it’s a critical tool for protecting your business, patients, and reputation. Still, too many companies treat compliance policies as static...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - June 23rd - 26th, Brussels, Belgium

Ideal for practitioners who want to build strong foundational knowledge of compliance program management and how to apply that knowledge in practice. Attendees will come away better prepared to support, enhance, and manage a...more

Ropes & Gray LLP

[Podcast] Getting Your Head Around the UK’s New (and Globally Relevant) “Failure to Prevent Fraud” Offence

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On this Ropes & Gray podcast, join Amanda Raad, co-head of the firm’s global anti-corruption and international risk and crisis management & investigations practices, Nitish Upadhyaya, director of behavioral insights at the...more

Health Care Compliance Association (HCCA)

[Event] Healthcare Privacy Compliance Academy - June 9th - 12th, Pittsburgh, PA

HCCA's Healthcare Privacy Compliance Academy is a three-and-a-half-day interactive education program with a focus on the vast body of privacy laws and regulations in place to help you protect PHI and other critical data. Our...more

Orrick, Herrington & Sutcliffe LLP

FDIC updates electronic communication procedures for supervisory correspondence

On April 15, the FDIC announced updated guidance on sending official correspondence related to supervisory matters. The FDIC’s guidance made permanent those temporary, previous measures for electronically sending and...more

Ankura

Remediation Happens: How To Identify, Mitigate and Resolve Related Risks

Ankura on

Remediation occurs for a host of reasons. You may identify remediation risk from internal activities (e.g., an audit, a control break) or external activities (e.g., a complaint, a regulatory exam, a lawsuit). Sometimes a...more

Health Care Compliance Association (HCCA)

[Event] Healthcare Basic Compliance Academy - June 9th - 12th, Pittsburgh, PA

Ideal for practitioners who want to build strong foundational knowledge of compliance program management in a healthcare setting and how to apply that knowledge in practice. Attendees will come away better prepared to...more

Paul Hastings LLP

SEC Signals Adoption of Innovative Co-Investment Exemptive Relief

Paul Hastings LLP on

The Securities and Exchange Commission’s Division of Investment Management (SEC) recently issued public notices indicating its imminent decision to grant several applications for a new form of exemptive relief for certain...more

Dentons

Ep. 57 – Implementing Effective Drug Diversion Prevention Programs

Dentons on

Drug diversion can pose serious risks to patients, employees, and organizations. Any provider who stores, transports, or dispenses controlled substances should have a robust program designed to deter drug diversion and to...more

Hogan Lovells

Consumer Duty: UK FCA finds no room for complacency in firms’ treatment of customers in vulnerable circumstances involving...

Hogan Lovells on

Outcomes testing and monitoring under the Consumer Duty, and senior management engagement with these areas, remain key focus areas for the FCA. Whilst the review in question focuses specifically on the treatment of customers...more

Troutman Pepper Locke

AAA Introduces New Consumer Mediation Procedures and Fee Schedule

Troutman Pepper Locke on

On April 1, the American Arbitration Association (AAA) announced the launch of its new Consumer Mediation Procedures and Fee Schedule. According to the announcement, updates aim to simplify and make dispute resolution more...more

Maynard Nexsen

Work This Way: A Labor & Employment Law Podcast | Episode 43: How Employers Can Navigate White Collar Crime with Erica Barnes &...

Maynard Nexsen on

In this episode, Tina and Jennie welcome Maynard Nexsen attorneys Erica Barnes and Christian Dysart to explore the intersection of white collar crime and employment and labor law. They share insights on how employers can...more

Ropes & Gray LLP

SEC Notices Simplified Co-Investment Relief: A Sigh of Some Relief for Regulated Funds and Their Affiliates

Ropes & Gray LLP on

On April 3, 2025, the SEC filed a notice of intent to grant FS Credit Opportunities Corp. et. al.’s (“FS”)1 amended application for an order permitting certain business development companies (“BDCs”) and closed-end management...more

Mitratech Holdings, Inc

Legal Hold Solutions for Remote Workforces: Staying Compliant from Anywhere

Legal Holds in a Hybrid World: Why Flexibility Demands Modern Solutions - It’s been five years since remote work took off – and while some companies are pushing for a return to the office, most are leaning into more...more

Seward & Kissel LLP

SEC Voluntarily Dismisses Action against Hedge Fund Manager over Safeguarding Confidential Information while Participating on...

Seward & Kissel LLP on

On April 7, 2024, the United States District Court for the District of Connecticut approved the Securities and Exchange Commission’s request to dismiss its action against a hedge fund manager for the manager’s alleged failure...more

Vorys, Sater, Seymour and Pease LLP

Strategies for Ensuring Effective Workplace Investigations

Employers are often faced with complaints of harassment, discrimination, retaliation, and other kinds of misconduct. While no two investigations are identical, specific strategies exist to help conduct effective workplace...more

Fox Rothschild LLP

The Presumption of Innocence Podcast: Episode 59 - Enforcement Priorities of the Second Trump Administration: DOJ Focus

Fox Rothschild LLP on

While President Trump’s first administration focused on reshaping the judiciary, he’s indicated a priority of his second administration will be reshaping the federal justice system. In this episode, reporter Andy Kroll and...more

Hogan Lovells

NIST finalizes cybersecurity incident response framework profile aligned with CSF 2.0

Hogan Lovells on

On April 3, NIST published practical incident response guidance aligned with its CSF 2.0 framework. The guidance outlines best practices in security incident preparation and response for organizations mapped across each of...more

Wolf, Greenfield & Sacks, P.C.

Spring Cleaning and Tune-up for Your Trade Secret Portfolio: Eight Steps

Spring has arrived, and in addition to cleaning, it’s a good time to reassess how your company is handling its trade secrets. Far from being static, trade secret innovations, processes, and data evolve over time. Business...more

Katten Muchin Rosenman LLP

April Welcomes More Flexible Co-Investment Exemptive Relief Under the Investment Company Act of 1940

On April 3, the US Securities and Exchange Commission (SEC) approved an exemptive application1 that allows for a more flexible co-investment transaction approval process. This new relief simplifies the process followed by...more

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