New Title IX Regulations: A Seismic Shift During a Pandemic (Webinar Recording)
Schools that have been anxiously awaiting the U.S. Department of Education’s final regulations enforcing and interpreting Title IX need wait no longer. The department issued final regulations last week that will govern sex...more
FINRA's new enforcement head, Bill St. Louis, recently appeared on FINRA Unscripted, a FINRA podcast where he discussed his vision for FINRA's Enforcement Department as well as certain key regulatory issues that are under...more
Durable medical equipment (DME) is particularly important for many Medicare beneficiaries. However, companies that manufacture and sell DME need to be careful because there are strict federal regulations outlining almost...more
King & Spalding’s April Client Alert provided an overview of and practical advice related to issues that an employer should consider before conducting an internal investigation in the United Kingdom: privilege, privacy,...more
Many of our clients are increasingly faced with internal investigations, some with complex compliance or whistleblowing features. Our April client alert looks at some of the key considerations before embarking upon any...more
As the third in a triumvirate of releases on compliance programs, the Department of Justice (DOJ) Antitrust Division released its Evaluation of Corporate Compliance Programs in Criminal Antitrust Investigations(Antitrust...more
We are back to consider the next five stories from The Casebook of Sherlock Holmes, mining each story for themes and lessons related to the compliance professional, leadership and business ethics. In this week’s first...more
The U.S. Justice Department has updated its "Evaluation of Corporate Compliance Programs," a guidance document detailing topics and questions prosecutors should weigh when determining whether a company has demonstrated...more
I recently had the chance to visit with Vincent DiCianni, founder and Chief Executive Officer (CEO), of Affiliated Monitors, Inc. (AMI). (AMI sponsors the podcast series This Week in FCPA). In this conversation, we explored...more
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
Ethical companies, by definition, have a robust system for internal organizational justice. A company that suffers from unequal treatment of similarly situated executives, managers, and employees cannot maintain an...more
FINRA’s newly revised Sanction Guidelines, effective immediately, signal that the upward trend in sanctions against broker-dealers is likely to continue. The Sanction Guidelines, which establish the range of sanctions...more
CME Group Reminds Members of Regulatory Requirements for EFRPs and Block Trades Through Disciplinary Actions: The CME Group brought and resolved multiple disciplinary actions against various members and non-members related to...more
The Financial Industry Regulatory Authority amended FINRA Rules 9231 and 9232 to add a category of persons eligible to serve as panelists in a disciplinary proceeding, which includes persons who currently serve or previously...more
You finally decided to take the long overdue disciplinary action. Jack has got to be disciplined. But just before you do, Jack, possibly sensing what’s about to happen, makes a complaint of harassment. This is the first...more
The internal corporate world mimics broader social forces. A perfect example of this is a corporate disciplinary system and our criminal justice system....more
It is often said that bad things come in threes. I have often wondered where this phrase came from. ...more