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K&L Gates LLP

The SEC Fines Stand-Alone Adviser for Off-Channel Communications

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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

NAVEX

3 Ways to Boost Compliance During COVID-19

NAVEX on

Companies have been moving at breakneck speed to respond to the COVID-19 pandemic. As a compliance professional, you’ve been there: from work-from-home and planning to go back to work, to layoffs and furloughs, to sales...more

The Volkov Law Group

Hiding Behind the Privilege – A Cloak or a Dagger?

The Volkov Law Group on

CCOs face many challenges in their jobs. One area that is difficult but usually can be solved with common sense is where to draw the line on attorney-client privilege issues. As a practicing attorney, I can attest to the...more

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