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®
The Securities and Exchange Commission (“SEC”) has announced the adoption of amendments to Regulation S-P (“Amendments”) to modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal...more
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
The new EU Corporate Sustainability Reporting Directive (“CSRD”) is set to revolutionize ESG reporting for companies around the world. Certain large EU companies are already conducting double materiality assessments and...more
FINRA Rule 3110(c)(1) requires broker-dealers to conduct onsite inspections of their offices of supervisory jurisdiction (OSJs), branch offices and non-branch locations. In response to the COVID-19 pandemic, FINRA adopted...more
On November 13, 2023, Governor Kathy Hochul announced plans to regulate cybersecurity for New York general hospitals regulated under Article 28 of the Public Health Law. As proposed, the regulations will provide an additional...more
Is your business in compliance with every law, rule, and regulation that it should be? If you can’t confidently say yes, it’s time for a compliance risk assessment. And even if you could confidently say yes six months ago,...more
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
Discover how to set and accomplish your ESG goals - Environment, Social, and Governance (ESG) is no longer an isolated function within a company, nor is it an issue only for publicly traded companies. It’s front and...more
On October 28, the Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”) and amended related rules designed to provide a modernized,...more
Corporate compliance officers always welcome the new year with a string of new regulatory compliance obligations close behind. One that caught my eye for 2020: Australia’s Modern Slavery Act....more
It's been ten years since the Federal Acquisition Regulation (FAR) was amended to require government contractors to have a business ethics and compliance program – that's right, it's a requirement in every government contract...more
Conducting HIPAA Breach Risk Assessments - The HIPAA rules relating to assessment of potential patient confidentiality breaches were changed in 2013. Specifically, on January 17, 2013, the Office of Civil Rights released...more
The UK’s Modern Slavery Act is an effort by the government to end all forms of labour exploitation. The UK’s Modern Slavery Act 2015 aims to prevent all forms of labour exploitation and increase transparency of labour...more
Non-Enforcement Cybersecurity Is At the Top of SEC Examination Concerns In a recent SEC “risk alert” for registered broker-dealers and investment advisers, the SEC’s Office of Compliance Inspections and Examinations (OCIE)...more
As of early December 2014, 1,170 security breaches under the Health Insurance Portability and Accountability Act (HIPAA) involving 31 million records had been reported to the U.S. Department of Health and Human Services (HHS)...more