News & Analysis as of

Code of Conduct

Lawyers Can Be A Positive Force for Compliance

by Michael Volkov on

Lawyers get a bad rap, and I am not just referring to all the lawyer jokes we have heard numerous times. Lawyers get a bad rap when it comes to compliance. Much of it is not deserved – but candidly, some of it is deserved....more

New Standards of Conduct for Companies Seeking to Operate with Respect for the Rights of LGBTI People

On September 26, the U.N. High Commissioner for Human Rights released new Standards of Conduct intended to support the business community in tackling discrimination against lesbian, gay, bisexual, transgender, and intersex...more

Is It Worth Fighting For (Recusal)?: The Tennessee Supreme Court Clarifies Judicial Canons on Personal Knowledge and Independent...

In 2012, Jeanie Holsclaw filed an action against Ivy Hall Nursing Home, Inc. for retaliatory discharge. Following several years of extensive discovery and the recusal of two trial judges, Ivy Hall sought to have a certified...more

Does Sorry Have to be the Hardest Word in the Workplace?

by Shipman & Goodwin LLP on

When was the last time you said you’re sorry to someone at work. Last week? Last month? Last year? Never? There isn’t a right answer to this but I was thinking about this yesterday on the Jewish New Year....more

How will the extended SMCR apply to NEDs?

by Dentons on

The Financial Conduct Authority (FCA) has consulted on the way in which the senior managers and certification regimes (SMCR) will be rolled out to all authorised firms, probably from next year. From the inception of the SMCR,...more

CEO Leadership – Honesty, Integrity, Listening and Empathy

by Michael Volkov on

At the outset, let me concede that I am not a psychiatrist (although we all feel like one at times with family members and colleagues). My observations on CEO leadership come from my own life experiences, and professional...more

The FX global code - indirect regulatory effect

by DLA Piper on

Introduction In recent years, misconduct revelations in relation to foreign exchange (FX) trading have dogged the FX market. Billions in fines have been levied by the Financial Conduct Authority (FCA) and other global...more

Challenges in Transitioning from the Law to Compliance

by Michael Volkov on

The legal profession is undergoing significant changes. With an over-supply of attorneys and lower profits, lawyers are looking for new angles to distinguish themselves in the marketplace....more

'Perception of Bias, Impartiality & Justifiable Doubts': The Case of Arthur Aldcroft

by Reed Smith on

Whether arbitrations are administered or ad hoc, parties within certain industry sectors will often require disputes to be resolved by arbitrators from panels of professional associations, such as GAFTA, FOSFA, LMAA or the...more

SFC (the “Commission”) Expresses Concern over Irregularities in Asset Management Activities

•The Commission has identified a number of regulatory concerns with respect to private funds and discretionary accounts, in particular, funds with concentrated, illiquid and interconnected investments. •The Commission has...more

Wake Up and Mind Your Culture — Practical Approaches to Managing a Company’s Culture

by Michael Volkov on

Ethical culture is the flavor of the year these days. We are seeing more postings and articles about the importance of ethical culture, and even pushing the idea of measuring and monitoring culture....more

The Financial Report, Volume 6, Number 15

by DLA Piper on

Discussion and Analysis - As elementary and middle-school students, we always hoped that our regular teachers would be absent and that we would be supervised by a “substitute teacher.” The normal rules of the classroom...more

Bill reforming financial adviser regime introduced to Parliament

by DLA Piper on

The financial services industry has been waiting with bated breath (given the upcoming General Election) for the introduction of the Financial Services Legislation Amendment Bill (Bill), which was introduced to Parliament on...more

Sharp Pencil Not a Weapon Under Pennsylvania School Code

by Tucker Arensberg, P.C. on

S.A. v. Pittsburgh Pub. Sch. Dist., 2017 Pa. Commw. LEXIS 152 (Pa. Commw. Ct. May 1, 2017). Summary and Factual Background - S.A. was a 10th grade student at Barack Obama International Academy, a high school in the...more

Financial Services Quarterly Report - Second Quarter 2017: Hong Kong Consultation on Guidelines on Online Distribution and...

by Dechert LLP on

The use of online platforms for distribution of financial products has become increasingly popular in Hong Kong. In May 2017, the Hong Kong Securities and Futures Commission (SFC) issued a Consultation Paper inviting comments...more

Oh, Hadn’t You Heard? You’re Violating French Law Right Now! France Gets Serieuse about Anti-Corruption

Ok, ok, don’t panic. Maybe not all of the millions of dedicated readers of this blog are in violation. Nevertheless, as of June 1, if your company does business in France, it may be time to check your anticorruption...more

Complainants Mostly Strike Out at Commission on Judicial Conduct

by PretiFlaherty on

Except for one judge who made a racially insensitive comment to a colleague and was forced to resign (see previous post), Massachusetts judges, in the judgment of their watchdogs, pretty much behaved themselves in...more

5 Telltale Signs of a Weak Corporate Culture

by Michael Volkov on

We all know it when we see it – a company with a weak corporate culture of ethics and compliance. Many companies claim they have an ethical culture but few really do. With increasing emphasis and understanding of the...more

Hot List – What’s Happening in the California Legislature 6/19-6/23

by Fisher Phillips on

Our weekly California Legislature “hot list” provides you with a preview of the bills that are up (as well as other important legislative action) the following week...more

4th Circuit sets a match to battalion chief's First Amendment claims

by McNair Law Firm, P.A. on

Lately, we’ve been seeing more cases in which public-sector employees accuse their governmental employer of violating the First Amendment to the U.S. Constitution. Such claims can arise in many ways, but with the...more

Hot List – What’s Happening in the California Legislature 6/12-6/16

by Fisher Phillips on

Our weekly California Legislature “hot list” provides you with a preview of the bills that are up (as well as other important legislative action) the following week....more

Corporate and Financial Weekly Digest - Volume XII, Issue 20

New FX Code of Conduct - The Foreign Exchange Working Group (FXWG), operating under the auspices of the Bank for International Settlements, has published a final version of its “FX Global Code” (the “Code”), a code of...more

Promoting an Ethical Culture — Actions Not Just Words

by Michael Volkov on

With an increasing focus on the value of an ethical culture, I have been reading more about chief ethics officers, the separation of ethics and compliance, and the traveling ethics officer who meets with employees to discuss...more

Spouse Swapping Not Cool for Police Officers, Says the Fifth Circuit

Just how much can you regulate a public employee’s off-duty conduct? In an interesting and rather frank opinion, the Fifth Circuit found a sheriff’s department could regulate deputies’ private conduct pretty broadly. In...more

Operationalizing Compliance Through Your Tone in the Middle

by Thomas Fox on

One of the ways that Human Resources (HR) can help to operationalize compliance is to assist each level of an organization to have a proper tone. While the top of an organization rightly gets much of attention, the tone about...more

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