News & Analysis as of

Proactive Approach To Cybersecurity: Recent SEC guidance and enforcement actions suggest that reactive firms may be in the SEC’s...

In an environment where even the largest and most powerful corporations have fallen victim to data breaches, it can be challenging to fathom how to protect against the sophisticated and ever-evolving threat of cyber attacks....more

Data Breaches Are Not Academic: Colleges and Universities Should Take Appropriate Steps To Avoid or at Least Minimize Their...

Data breaches at colleges and universities are on the rise. These institutions are targets because their networks have access to a large amount of private information, including educational and medical records, as well as...more

Massachusetts Legislature Takes Action on Opioid Crisis

Amid a recent surge in opioid-related deaths in Massachusetts, with over 1,200 accidental deadly overdoses last year, the Senate passed legislation on Thursday, October 1, that is designed to fight the epidemic on various...more

OIG’s Audit Of OSHA Whistleblower Programs

On September 30, 2015, the U.S. Department of Labor’s Office of the Inspector General (OIG) published the findings of its audit of OSHA’s Whistleblower Protection Programs (Whistleblower Programs). The audit focused on (1)...more

California Expands Gender-Based Wage Protections by Adopting “Substantially Similar” Test and Requiring Employers to Justify Wage...

The California Fair Pay Act, which goes into effect on January 1, 2016, prohibits employers from paying employees less than the rate paid to members of the opposite sex who perform “substantially similar” work. Although...more

Scottish Authorities Settle First Corporate Criminal Offence Under the Bribery Act

On 25 September 2015, prosecutors in Scotland announced the first application of the corporate offence of failing to prevent bribery under section 7 of the Bribery Act 2010. Due to self-reporting and extensive cooperation...more

SEC Brings First Cybersecurity Enforcement Proceeding in Wake of Risk Alert

Highlights Areas of High Risk and Examination Priorities for Financial Industry Firms - On September 15, the U.S. Securities and Exchange Commission’s (SEC’s) Office of Compliance, Inspections and Examinations (OCIE),...more

"California Fair Pay Act" Becomes Law

The new law expands the equal pay requirement for men and women to "substantially similar work" regardless of location, modifies employers’ business justification defense, and increases employers’ recordkeeping obligations to...more

The Modern Slavery Act 2015

The UK’s Modern Slavery Act is an effort by the government to end all forms of labour exploitation. The UK’s Modern Slavery Act 2015 aims to prevent all forms of labour exploitation and increase transparency of labour...more

CFPB Sends Industry Letter on TRID

On October 1, regulators including the CFPB sent a letter to mortgage industry trade groups regarding TRID. The letter states that...more

SEC Ramps up Cybersecurity Scrutiny With Examination Priorities and an Enforcement Action

Why it matters - Signaling that it will continue to increase its scrutiny of firms' cybersecurity readiness, the Office of Compliance, Inspections and Examinations of the Securities and Exchange Commission (SEC) issued a...more

A Quick Update on Speedy Election Rules (Hint: The Predictions Have Come True — Somewhat)

The National Labor Relation Board’s new election procedures became effective April 14, 2015. You may recall that the new rules were largely designed to shorten significantly the time between a union’s filing of a petition for...more

California Fair Pay Act: New Obligations for Employers or a Paper Tiger?

Widely lauded as the strongest equal pay legislation in the nation, California’s Fair Pay Act (Senate Bill 358) is now law. Effective January 1, 2016, the new law modifies California’s existing wage discrimination measures by...more

5 Success Factors in Cutting-Edge Compliance: Compliance Becomes King When These Elements Are Integrated Into Day-to-Day...

Technology is doing more than bringing compliance fully into the digital age. It’s also initiating a revolution that is putting compliance and ethics at the forefront of how business is run, creating far greater operational...more

Companies: Five Steps to Protecting Trade Secrets

If your management team knows it needs to better protect company trade secrets but isn’t sure where to start, take note. and PwC have put together a five-step framework to guide companies on how to identify, assess...more

New Round of SEC Cybersecurity Examinations of Financial Service Firms and Their Cyber Controls

The Office of Compliance Inspections and Examinations (the OCIE) has just published a new Risk Alert on cyber risks and precautions identifying specific areas it will be focusing on during the second round of examinations of...more

SEC OCIE Sharpens Focus on Cybersecurity

If you read one thing... - On September 15th, the SEC OCIE announced in a Risk Alert it will launch a second round of cybersecurity examinations of registered broker-dealers and investment advisers, which will be more...more

SEC Provides Additional Information On Cybersecurity Examinations

On September 15, 2015, the Security and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert to provide additional information on the areas of focus for its second round of...more

OCIE’s 2015 Cybersecurity Examination Initiative

Second Round of Cybersecurity Examinations to Begin - On September 15, 2015, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a Risk Alert announcing a...more

SEC’s OCIE Risk Alert Announces New Cybersecurity Exam Initiative – Focus Includes Conducting Tests of Efficacy of Firm’s...

Following up on last year’s cybersecurity sweep exam, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a new Risk Alert on September 15, 2015, announcing a second round of cybersecurity exams. In...more

SEC to Conduct Second Round of Cybersecurity Examinations

On September 15, 2015, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a Risk Alert announcing its second round of examinations of registered investment...more

Cybersecurity, Round 2: OCIE Announces Areas of Focus for Cybersecurity Examinations

On September 15, 2015, OCIE issued a risk alert relating to its new cybersecurity examination initiative. This is the second round of these examinations, and the alert provides a detailed look at OCIE’s current areas of...more

Trusting Human Resources: A Fantasy or a Necessity?

A few weeks back, one to the best bloggers you may not be reading — Robin Shea — posted about the scathing press that Amazon had been receiving about its workplace and posed this question: Can Employees Trust Human Resources?...more

Hackers Continue to Perpetrate Wire Transfer Fraud Scams on a Global Scale

An increasing number of businesses continue to be targeted by very sophisticated email scams designed to convince company employees responsible for executing financial transactions to wire funds to overseas accounts...more

FinCEN Proposed AML Rule For Investment Advisers

The Financial Crimes Enforcement Network (“FinCEN”), a bureau of the Department of Treasury, issued a proposed anti-money laundering rule applicable to investment advisers registered with the U.S. Securities and Exchange...more

487 Results
View per page
Page: of 20

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.