On September 23, 2024, the U.S. Department of Justice (DOJ) released updates to its Evaluation of Corporate Compliance Programs (ECCP) guidance — the framework prosecutors use to evaluate corporate compliance programs during...more
1/28/2025
/ Analytics ,
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Compliance Management Systems ,
Corporate Governance ,
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Department of Justice (DOJ) ,
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Last Lap in SEC RILA Rulemaking Critical Unresolved Issues -
Congress directed the SEC to adopt a new registration statement for registered indexed annuities (RILAs) by the end of June. Several months ago, the SEC...more
5/29/2024
/ Artificial Intelligence ,
Broker-Dealer ,
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Employee Benefits ,
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Investment Adviser ,
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Life Insurance ,
NAIC ,
NLRB ,
Private Equity ,
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Securities and Exchange Commission (SEC) ,
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Whistleblowers