California Regulation of Charitable Fundraising Platforms Part 2 - Reporting Due Diligence, Recordkeeping, and Disclosure Rules
Episode 312 -- Eddie Green, CEO SnippetSentry, on Communications Preservation Risks
Episode 298 -- Electronics Communications Risks and Ephemeral Messaging
A Look Into the FDA and USDA Regulatory Regimes
Nonprofit Basics: Meeting Minutes Best Practices
The Risk Roundtable: Best Practices for Litigation to Help After an Accident
PLI's inSecurities Podcast - Compliance and Enforcement Considerations for Private Funds & RIAs
California Employment News: Best Practices for Maintaining Employee Records
OSHA Recordkeeping Regulations: Understanding the Fine Print
FLSA and Wage and Hour Issues for Restaurants
#WorkforceWednesday: OSHA Updates COVID-19 Guidance, NLRB GC’s Priorities, Biometrics at Work - Employment Law This Week®
[Webinar] Common Massachusetts Cannabis Business Compliance Pitfalls
Risk Prevention Strategies: Avoiding Costly FLSA Missteps
How to Navigate the After Effects of the U.S. Stimulus Packages
Regulation Best Interest Videocast Series: Regulation BI Recordkeeping Requirements
Podcast: Private Fund Regulatory Update – Network and Cloud Storage
No business wants to be investigated or charged by the government, sued by a competitor, or compelled to defend against an employment lawsuit. The risks of such litigation to any company are so predictable, though, that large...more
On May 16, 2024, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments to Regulation S-P (“Reg S-P”) that are intended to help protect investors’ privacy from the “expanded use of technology and corresponding...more
Starting May 28, 2024, the settlement cycle for most transactions in U.S. securities will shorten from T+2 to T+1 as a result of rule amendments adopted by the Securities and Exchange Commission (SEC).1 The SEC also adopted a...more
The Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) have, in two separate recent settled enforcement actions involving off-channel communications (“OCC”), imposed fine...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 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
For HR leaders, HR compliance can sometimes seem as complex as a Rubik’s cube. In this comprehensive guide, we will demystify HR compliance for you and provide valuable insights to help your business stay on the right side of...more
For Human Resources, compliance is king. Ensuring that your organization follows all applicable laws and regulations is a legal obligation and crucial for maintaining a healthy and productive work environment. However,...more
...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more
The National Collegiate Athletics Association (NCAA) released its interim policy regarding name, image, and likeness (NIL) for NCAA student-athletes in July 2021. Since then, the NCAA has released several clarifying guidance...more
As U.S. regulators and enforcement authorities alike become increasingly focused on corporate oversight practices of their employees' use of third-party messaging applications, including ephemeral messaging, companies should...more
The SEC continued its recent onslaught of proposed cybersecurity rules in mid-March with three new proposals covering a litany of entities, including investment advisers, broker-dealers, investment companies, clearing...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
On October 26, the SEC proposed a new Advisers Act rule (the “Proposed Rule”) that would establish specific obligations for Registered Investment Advisers with respect to outsourcing of “Covered Functions”, as that term is...more
The November 4, 2022, deadline for advisers to implement amended Rule 206(4)-1 (Marketing Rule) and related rules under the Investment Advisers Act of 1940 is fast approaching. Advisers required to comply with the rule are...more
On December 20, 2020, the Securities and Exchange Commission (the “SEC”) adopted reforms under the Investment Advisers Act of 1940, which modernized rules that govern investment adviser advertising and payments to solicitors....more
On September 27, 2022, the Securities and Exchange Commission (“Commission”) entered into a series of settled orders (“Orders”) against 15 broker-dealers and one affiliated investment adviser for widespread failures by the...more
On September 27, 2022, the SEC announced that it had sanctioned 15 Broker-Dealers and one affiliated RIA for widespread recordkeeping violations of Section 17(a)(1) of the Exchange Act and Rule 17a-4(b)(4) thereunder...more
On Monday, September 19, 2022, the SEC’s Division of Examinations issued a Risk Alert announcing their intent to conduct targeted reviews of registered investment advisers regarding compliance with amended Advisers Act Rule...more
An investment management company was recently hit with $200 million in fines for failing to track employees’ use of personal messaging apps, which resulted in the loss of communications that were subject to regulatory...more
On December 28, the Centers for Medicare & Medicaid Services issued long-awaited guidance regarding how it intends to enforce its Interim Final Rule mandating COVID-19 vaccinations for certain health care workers. The rule,...more
The SEC has, for many years, used broker-dealer and associated persons’ failure to create and maintain books and records as a basis for the imposition of serious penalties. In recent actions, it appears to be continuing—and...more
The staff of the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (the “Division”) recently published a risk alert spotlighting observations from its “RIC Initiatives” — 200+ examinations of mutual...more
Have no doubt, once the COVID-19 pandemic safety restrictions loosen, the Massachusetts Cannabis Control Commission will resume business as usual. This will likely include unannounced on-site compliance audits of licensed...more
Last week, the Commodity Futures Trading Commission publicized a cascade of settlements of enforcement actions alleging breaches of laws and rules related to supervision, spoofing, reporting, and misappropriation of...more