Regulatory vs. Business Compliance
Fintech Focus Podcast | Navigating IT and Security Risks in Fintechs in Light of Impending DORA Deadline
On-Demand Webinar: Bring Predictability to the Spiraling Cost of Cyber Incident Response Data Mining
Episode 347 -- LRN's Code of Conduct Survey
Workplace Investigation Protocols: One-on-One with Greg Keating
The Election's Impact on the FTC Will Bring Big Changes, But Being Vigilant Must Remain a Priority
Harnessing Generative AI: Innovations and Best Practices — The Good Bot Podcast
Innovation in Compliance: Navigating Risk Management in the Automotive Industry with Tom Kline
Effective Compliance Training
Compliance Tip of the Day: Board Questions and Metrics for 3rd Party Risk Management
AI Washing: Simple Guidance to Avoid Risk
Webinar ¦ Benefits of Using AI in Construction
The Future of AI Regulation and Legislation: 5 Key Takeaways
Episode 342 -- How to Conduct an Internal Compliance Site Visit and Review
Why Privacy is Your Secret Weapon Against Third-Party Risk
Due Diligence in AI: 3 things you need to survive AI scrutiny
Enhancing Compliance: The Power of Independent Monitorships in Consumer Protection — Regulatory Oversight Podcast
Investigations and Cognitive Interviews
Consumer Finance Monitor Podcast Episode: Regulators Escalate Focus on the Risks of Bank Relationships with Fintechs and Other Third Parties
Fraud Prevention Techniques for Nonprofit Organizations - Part 3
The deadline for EU countries to transpose the expanded cybersecurity directive, NIS 2, into national law is 17 October 2024, but the implementation status varies significantly from country to country. Some of the member...more
Why streamlined matter management is essential to automated, centralized, and optimized operations in 2025 and beyond....more
Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more
The Biden Administration recently issued its clearest articulation yet of how federal agencies can use AI—and no surprise: There are big implications for companies delivering AI solutions to federal government customers....more
On March 6, the US Securities and Exchange Commission (SEC) approved new rules requiring public companies to disclose extensive climate-related information in their registration statements and periodic reports. The SEC has...more
On 23 January 2024, the UK Government announced a call for views and requested feedback from businesses of all sizes across every sector on its draft Cyber Governance Code of Practice (the "Draft Code"). Aimed at directors...more
On July 26, 2023, the Securities and Exchange Commission (“SEC”) adopted final rules, rule amendments and form amendments to expand and standardize disclosures regarding cybersecurity risk management, strategy, governance,...more
California is taking applications for its new voluntary compliance program for unclaimed property holders. Our Unclaimed Property Team sheds light on the program’s knowns and unknowns....more
Employers subject to the City of Chicago’s Sexual Harassment Ordinance must comply with the updated training requirements by June 30th or risk penalty. As we previously advised, the amended Chicago Human Rights Ordinance...more
The Bermuda Monetary Authority published the revised Operational Cyber Risk Management Code of Conduct (the “Cyber Risk Code”) for corporate service providers, trust companies, money services businesses, investment...more
On June 5, 2019, the SEC adopted a package of rulemakings and interpretations designed to enhance the quality and transparency of investors’ relationships with broker-dealers and investment advisers. The focal point of this...more
As we have written about previously, this past Spring the New York State Legislature and New York City Council adopted broad new requirements to combat workplace gender-based harassment. ...more
Earlier this week, the New York Governor’s office finalized materials for New York State employers to implement sexual harassment policies and training. While draft guidance was circulated to the public in August 2018, the...more
On Monday, October 1, 2018, the State of New York released final versions of a sexual harassment policy, complaint form, and employee training relating to sexual harassment, among other guidance, pursuant to legislation...more
As industry comes up on the one-year anniversary of the publication of Change 2 to the National Industrial Security Program Operating Manual (NISPOM)1, a number of implementation deadlines are drawing near. This blog post...more