News & Analysis as of

Code of Conduct

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

Franchise Compliance: Franchising infringement notices and pizza

by Dentons on

A recent decision by the ACCC to issue infringement notices to a franchisor demonstrates the need for franchisors to comply with the ongoing disclosure requirements to franchisees under the Franchising Code of Conduct....more

Day 17 of One Month to Better Compliance Through HR-Using HR to Create an Ethical Culture

by Thomas Fox on

The Evaluation of Corporate Compliance Programs document makes clear that operationalization of compliance into an organization should be done at multiple levels in a company. Creating an ethical culture is an important step...more

Day 15 of One Month to Better Compliance Through HR-Employment Separation Issues

by Thomas Fox on

Employment separation and layoffs can present some unique challenges for the compliance practitioner. Employees can use layoffs to claim that they were retaliated against for a wide variety of complaints, including those for...more

Financial Conduct Authority Publishes Policy Statement on Application of its Conduct Rules to Non-Executive Directors

by Shearman & Sterling LLP on

The Financial Conduct Authority has published a Policy Statement on applying conduct rules in the Code of Conduct sourcebook to non-executive directors in the banking and insurance sectors. In-scope NEDs are those who do not...more

Hot List – What’s Happening in the California Legislature 5/15-5/19

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

The “Rock-Star Exception” Is More Expensive Than You Think

by NAVEX Global on

One of the hallmarks of a healthy organizational culture is that it makes no exceptions or excuses for inappropriate behavior. It is simply not possible to maintain workplace integrity if certain individuals are excused for...more

Day 11 of One Month to Better Compliance Through HR-the Fair Process Doctrine

by Thomas Fox on

Procedural fairness is one of the things that will bring credibility to your Compliance Program. Today it is called the Fair Process Doctrine and this Doctrine generally recognizes that there are fair procedures, not...more

Workplace Performance Concerns Lead to Privacy Violation

by Dentons on

A recent Order of the Office of the Information and Privacy Commission of Alberta (OIPC) provides guidance on potential privacy traps when managing performance issues in the workplace....more

When Office Romance Goes Pear-Shaped

by K&L Gates LLP on

The old adage that you shouldn't fish off the company wharf has been proven to be true for at least two high profile executives of late. While this is not a new or novel issue, it does beg the question of what role should a...more

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