Investigations and Cognitive Interviews
Implications of the SEC Cybersecurity Disclosure Rule
Healthcare Document Retention
Vicky Hanks of Blake Morgan on Building an Effective Employee Brand - Passle's CMO Series Podcast
Behavioral Health Compliance
Conducting Healthcare Compliance Investigations
Navigating the Storm: Crisis Management in the Workplace — Hiring to Firing Podcast
Episode 299 -- Bobby Butler on the Compliance Profession and the Future of Compliance
Compliance Auditing & Monitoring
Web-based Tracking Technology and AI: HIPAA Compliance Issues for Health Care Practices
PODCAST: Williams Mullen's Benefits Companion - SECURE 2.0 Act Relief for Plan Corrections
What Physicians Need to Understand About Balance Billing
What Nonprofit Board Leadership Needs To Know About Internal Investigations
Compliance with the New EU-US Data Privacy Framework
Compliant Business Communications Through Messaging Apps
Interactive Compliance Policies
GILTI Conscience Podcast | Tax Insurance 101
Consumer Finance Monitor Podcast Episode: A Look at the Treasury Department’s April 2023 Report on Decentralized Finance or “DeFi”
Personal Devices and Messaging: Evolving Compliance Concerns and Best Practices
#WorkforceWednesday: What the End of the COVID-19 Public Health Emergency Means for Employers - Employment Law This Week®
Most compliance officers struggle to determine whether they are conducting enough testing to satisfy their obligations under the Advisers Act. In its release adopting Advisers Act Rule 206(4)-7, the SEC stated that an...more
The Financial Conduct Authority (FCA) is seeking views on proposed rules that would allow asset managers to opt for bundled payments for third-party investment research, reversing a significant aspect of the UK’s...more
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
On April 5, 2024, after an eight-day trial, a jury in the U.S. District Court for the Northern District of California returned a verdict for the Securities and Exchange Commission in its first “shadow trading” case after...more
Who may be interested: Registered Investment Companies; Directors of Registered Investment Companies; and Investment Advisers Quick Take: The staff of the SEC Division of Examinations (Staff) recently released its 2024...more
- The OCIE of the SEC highlights that responses to COVID-19 present important regulatory and compliance issues for SEC registrants, including “heightened risks of misconduct” tied to recent market volatility. - The Risk...more
The U.S. Securities and Exchange Commission (“SEC” or the “Commission”) held its annual SEC Speaks conference in Washington, DC on February 23 and 24, 2018 and provided remarks from the Chairman and commissioners, discussions...more