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®
Who may be interested: Registered Investment Advisers, Registered Investment Companies, Compliance Staff - Quick Take: The SEC recently announced a number of additional enforcement actions relating to recordkeeping...more
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
OFAC issued an interim final rule extending OFAC’s recordkeeping requirements from 5 years to 10 years, to comport with the corresponding statute of limitations extension. OFAC also published a request for public comment...more
Every compliance program begins with a code of conduct. The code of conduct expresses a company’s fundamental values and its commitment to living by them. Although a code of conduct is usually a very high-level document, it...more
For institutions and organizations entrusted with the care of children, such as schools, daycares, hospitals, faith-based communities, camps and sports teams, the responsibility to safeguard their well-being is vital....more
Effective July 1, 2024, the Chicago Paid Leave and Paid Sick and Safe Leave Ordinance (“Ordinance”) will entitle eligible employees to accrue up to 40 hours of Paid Leave and up to 40 hours of Paid Sick Leave in a 12-month...more
On June 27, 2024, by near-unanimous vote, the California Legislature passed two bills enacting much-needed reform to the Private Attorneys General Act (PAGA). We previously reported on the legislative compromise last week,...more
On June 18, 2024, Governor Newsom, in collaboration with legislative leaders, unveiled a landmark agreement to reform the Private Attorneys General Act (PAGA). The agreement comes before California voters could weigh in on...more
The Department of Justice has been clamping down on false certifications in the System for Award Management (“SAM”), in government contracts, and on invoice submissions. New laws are being created, new frameworks are being...more
Generally speaking, investigatory procedures, including use of compulsory process, may be used by Federal Trade Commission (FTC) attorneys in connection with the spectrum of activities that the agency is authorized or...more
Israel promotes responsible AI innovation through policy and sector-specific guidelines to address core issues and ethical principles. Laws/Regulations directly regulating AI (the “AI Regulations”) Currently, there are...more
Mining companies operate in many countries where the risks related to the presence in the supply chain of forced and child labor tend to be high. If these companies also carry on certain business activities in Canada...more
Who may be interested: Investment Advisers, Broker-Dealers - Quick Take: The SEC settled charges against an investment adviser for widespread recordkeeping deficiencies related to the adviser’s failure to obtain, maintain...more
On March 13, 2024, Utah enacted the Utah Artificial Intelligence Policy Act (UAIP), which imposes certain disclosure requirements on entities using generative AI tools with their customers, and limits an entity’s ability to...more
Recent legislative developments in the United Kingdom, public remarks from the new director of the UK Serious Fraud Office (SFO), and recent parliamentary hearings on the Post Office Horizon scandal put a spotlight on...more
Since December 2021, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) have levied almost $3.0 billion in penalties for longstanding failures by 39 broker-dealers, swap dealers,...more
In recent years, the U.S. Securities and Exchange Commission (SEC) has increasingly made Environmental, Social, and Governance (ESG) issues a central element of the agency’s enforcement priorities and on September 25, the...more
Editor's Note - The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency,...more
Recently, the U.S. Securities and Exchange Commission (the “SEC”) announced charges against an investment adviser (the “Adviser”) for using hypothetical performance metrics in advertisements that were misleading pursuant to...more
Summary of the Recent SEC Actions - On August 8, 2023, in yet another set of enforcement actions in the space, the U.S. Securities and Exchange Commission (the “SEC”) settled charges against ten broker-dealers and a dually...more
Prohibitions targeted to prevent China’s exploitation of dual-use technology - On August 9, 2023, President Biden signed a historic Executive Order on Addressing United States Investments in Certain National Security...more
Both individuals and companies risk severe penalties if they contribute to money laundering, even if the contribution is the result of negligence. By appointing an anti-money laundering officer organisations will reduce their...more
Roundtable Discussion: Off-Channel Communications and Mobile Surveillance Policies - Surveillance, monitoring, escalation, and reporting are critical components to regulatory compliance and risk management. So is...more
The New York City Department of Consumer and Worker Protection (DCWP) adopted final rules for Local Law 144 on April 6, 2023. This landmark law prohibits employers from using automated employment decision tools (AEDTs) to...more
With construction less impacted by the COVID-19 pandemic, and with a large number of projects in progress across the country, the industry is seeing a rebound in construction activity. This increase in activity, however,...more