Managing High Performers: Top Gun Maverick – Hiring to Firing Podcast
Making Sandwiches and Managing Employees: Hulu’s The Bear - Hiring to Firing Podcast
Addressing Bias in Performance Reviews [More with McGlinchey, Ep. 31]
As 2020 Winds Down, Keep Your Guard Up!
Governance Series: A Good Hospice Board in Action - What it Looks Like
PODCAST: Challenging Negative CPARS Reports – Protecting Contractor Reputation Through CPARS Challenges
Employment Law Now I-10- Independent Contractors, Age Discrimination, Performance Reviews, Web Site Accessibility, and Ducks, TIEs and Chimps
Day 13 of One Month to Better Compliance Thru HR
In the October edition of our Public Company Watch, we cover key issues impacting public companies, including the SEC adopting rules modernizing beneficial ownership reporting and short sale reporting, and issuing new C&DIs...more
Investment advisers that are registered with the Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940 (the “Advisers Act”) are subject to certain substantive requirements, including Rule 206(4)-1...more
On September 11, 2023 the SEC announced settlements with nine registered investment advisers (the “Advisers”) for alleged violations of the Investment Advisers Act’s new marketing rule (Rule 206(4)-1, available here, the...more
At long last, the SEC has finally published its Revised Investment Adviser Marketing Rule. effective as of May 4, 2021. Investment advisers will have 18 months following the effective date, or until November 4, 2022, to come...more
There is much for authorised firms to consider in the year ahead. Firms have been through the intensive period of the enactment of the second Markets in Financial Instruments Directive (MiFID II), but must now step up their...more
One of the ways to operationalize compliance and to drive it into the DNA of an organization is through a performance review. Indeed, the 2012 FCPA Guidance states, “DOJ and SEC recognize that positive incentives can also...more
Compliance is a business. That statement should not come as a shock or even a surprise to anyone who has worked in the corporate world. Every part of a business should work towards doing business. Yet many compliance...more