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 SEC continues its focus on greenwashing, despite the recent disbandment of the SEC’s Climate & ESG Task Force.Notably, in the past month, the SEC Department of Examinations has issued a risk alert focused on greenwashing,...more
Continuing its controversial and aggressive approaches to cybersecurity, the U.S. Securities and Exchange Commission (SEC) recently charged four current and former public companies for purportedly “materially misleading...more
On September 23, 2024, the U.S. Department of Justice (Department) announced that it had updated its guidance to prosecutors on how to evaluate the effectiveness of a corporation’s compliance program. The guidance, known as...more
The U.S. Securities and Exchange Commission ("SEC") has charged SolarWinds Corp. (SolarWinds) and the company's chief information security officer ("CISO") with securities fraud and violations of internal controls...more
On October 30, 2023, the SEC filed charges against SolarWinds Corp. and its chief information security officer (CISO), alleging: ..Failures to disclose known cybersecurity vulnerabilities affecting the company’s “crown...more
Companies will often make representations about modern slavery as part of their environmental, social and governance (ESG) measures. In this article, we consider whether potentially false or misleading claims about modern...more
Promotional messages and activities regarding a health product are subject to the advertising provisions under the Food and Drugs Act (FDA), the Controlled Drugs and Substances Act and/or their associated regulations. For...more
In This Issue. President Joe Biden issued a sweeping executive order aimed at cracking down on anticompetitive practices and reducing consolidation across multiple industry sectors, including financial services; the Federal...more
It’s never been a better time to shop, work or spend leisure time at home – the internet and television are flooded with advertisements for amazing products with the ability to improve our lives and make things easier....more
Over the past two years, prices for cryptocurrencies and other digital assets have experienced extreme gains and declines, while billions of dollars have been raised through Initial Coin Offerings (“ICOs”). In this dynamic...more