California Employment News: Effective Disciplinary Procedures and Policies (Podcast)
California Employment News: Effective Disciplinary Procedures and Policies
A Primer on the Texas Bar Disciplinary System | Seana Willing | Texas Appellate Law Podcast
On July 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert outlining its observations and recommendations following an examination initiative that focused on oversight practices...more
On July 23, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released a risk alert setting forth compliance issues that OCIE had observed during its series of examinations of SEC-registered investment...more