Episode 347 -- LRN's Code of Conduct Survey
Riskology By Infortal™: Episode 37 – Boots on Deck: Managing Maritime Risk with Joshua Hutchinson from AMBREY
Corruption, Crime & Compliance: The Trump Administration’s Expected Impact on Enforcement and Compliance
FCPA Compliance Report – Episode 737 – Navigating Compliance in a Trump Presidency: Insights and Concerns
Sunday Book Review: November 24, 2024 – The Thanksgiving Mysteries Edition
Fox on Podcasting – Unleashing Creativity and Profit Through Podcast Seasons
10 For 10: Top Compliance Stories For the Week Ending November 23, 2024
Privacy pros: Why Collaborate with Sales & Marketing and How to Do It Well
Constangy Clips Ep. 5 - Year-End Planning: 4 Tips for a Successful 2025
Compliance Tip of the Day – Policy Week: Extortion Payments
Compliance and AI: Demystifying AI Integration in Compliance: Insights from the DOJ
Daily Compliance News: November 22, 2024 – The All NYT Edition
AGG Talks: Cross-Border Business Podcast - Episode 21: The 2024 U.S. Election’s Impact on ESG Regulations
Updating the Research Compliance Handbook
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Are the Differences Between Private & Public Offerings?
Business Integrity Innovations: Championing Integrity – Trade, Integrity, and Investment in Africa: Insights from Toki Mabogunje
Daily Compliance News: November 21, 2024 – The Adani Group Edition
Compliance Tip of the Day: Policy Week - Facilitation Payments
Life With GDPR: Understanding the UK’s Failure to Prevent Fraud
Have you ever wondered how different cultures and generations engage with a company's code of conduct? Do employees across the globe really follow ethical guidelines in the same way, or are there stark contrasts depending on...more
With the holiday season officially upon us, the Dollars and Sense team wants to make sure you maximize your giving and gifting! For so many businesses, and business owners, this time of year also means employer festivities,...more
Good news! The second chamber (Bundesrat) has now paved the way for the eagerly awaited and much-debated inclusion of a group privilege in sec. 19a of the German Income Tax Act (“EStG”). German start-ups that have done the...more
Back in February, in ISS v. SEC, the D.C. Federal District Court vacated the SEC’s 2020 rule that advice from proxy advisory firms was a “solicitation” under the proxy rules. Both the SEC and National Association of...more
The European Financial Reporting Advisory Group (EFRAG) is in the process of finalizing its draft sustainability reporting standards for non-EU parent companies (NESRS), which will shortly be subject to public consultation....more
EXECUTIVE SUMMARY - Fund sponsors may offer their employees and other investment professionals an opportunity to invest in its funds through a co-investment program, which a lender may partially finance....more
It's no secret that President-Elect Donald Trump has intentions to carry out what he has called the largest mass deportation in U.S. history shortly after taking office. U.S. employers, particularly those in the...more
Decision paralysis impacts people who struggle to make a decision, often because they’re faced with too much information or too many options. Your website may be contributing to people’s frustration and exhaustion when trying...more
We distil key practical takeaways from the UK Government’s official guidance on the corporate criminal offence of failure to prevent fraud (the Guidance). Businesses and compliance teams will be working to review and...more
After its fiscal year-end frenzy in September, the SEC relaxed slightly, with no new rule-making and fewer enforcement actions. So, I took a break last month and combined the October and November Roundups. (You’re welcome.)...more
The Director-General of the Israel Competition Authority recently imposed a pecuniary sanction of an unprecedented amount, approximately ILS 111 million, on Strauss and Wyler Farm. This was due to what the Director-General...more
Beginning December 18, Schedules 13D and 13G must be filed using an XML-based language. Filers will have the option of (1) using a fillable web form that converts inputted disclosures into 13D/13G-specific XML or (2)...more
Make no mistake, nonfinancial misconduct remains at the top of the Financial Conduct Authority's agenda. Originally published in Law360 - November 26, 2024....more
There are three important requirements affecting New Jersey Community Associations: Reserve Studies Compliance, the Corporate Transparency Act (CTA) Compliance and Structural Integrity Compliance. Please ensure your...more
We continue to hear about the impact of apparent or real conflicts of interest — whether in government, in business, or in other organizations. It is an issue of significant importance. Within an organization, a perceived...more
In recently released updated guidance, the Antitrust Division (“Antitrust Division”) of the U.S. Department of Justice (“DOJ”) outlined how its prosecutors will assess corporate compliance programs when conducting criminal...more
In the final part of the Compliance Lessons from Venice series, we focus on one of Venice’s earliest tools for addressing misconduct: a reporting system predating modern whistleblower programs. Known as the Lion’s Mouth, this...more
After hearing argument earlier this month in a widely followed securities law case concerning risk-factor disclosures of public companies, the U.S. Supreme Court last week decided it should not have agreed to hear the case...more
In financial services and specifically wealth advisory, success is often measured by the growth of assets under management and the ability to navigate challenging market conditions. For David and Katie Witter, founders of...more
The January 1, 2025, compliance deadline for Corporate Transparency Act (CTA) filings for certain entities that were formed or registered to do business in the U.S. before 2024 is approaching quickly for many business owners....more
On November 25, 2024, the Indiana Court of Appeals ruled that a former chief operating officer (COO) at a medical fee collection company did not breach noncompete agreements and a nondisclosure provision when she took a job...more
The Securities and Exchange Commission (SEC) recently announced that United Parcel Service Inc. (UPS) has agreed to pay a $45 million penalty for materially misrepresenting its earnings by improperly valuing its UPS Freight...more
Earlier this month, the final rule overhauling the U.S. merger control filing process was published in the Federal Register, making the effective date for the new process February 10, 2025. All filings made on or after that...more
The Corporate Transparency Act (CTA), which came into effect January 1, 2024, requires that “reporting companies” doing business in the United States disclose information about their beneficial owners to the Financial Crimes...more
The Economic Crime and Corporate Transparency Act 2023 (the “ECCTA”) introduced a corporate ‘failure to prevent fraud’ offence providing that ‘large’ organisations may be held criminally liable if an ‘associate’ (such as an...more