Daily Compliance News: September 12, 2024 – The Leaving the Dirty Money List Edition
Compliance into the Weeds: Pre – taliation Illegality – from Employment Contracts to All Contracts
Compliance Tip of the Day: Measuring Compliance Training Effectiveness
The Hill Country Podcast: Educational Innovations at Ingram ISD: A Conversation with Dr. Robert Templeton
Great Women in Compliance: Internal Controls and Compliance: Building a Successful Partnership
Daily Compliance News: September 11, 2024 – The Never Forget Edition
The Magnificent 7 Rides Again: Reflecting on Art, Community, and Camaraderie
Innovation in Compliance: Travis Howerton on Revolutionizing Compliance – Integrating Automation for Digital Transformation
Everything Compliance: Shout Outs and Rants – Episode 140 – The Fall is in The Air Episode
Daily Compliance News: September 10, 2024 – The Palace Coup Edition
Podcasting for Business - The Essential Role of Podcasting in Business Growth
The Ethics Experts: Episode 181 – Judy Spain
Corruption, Crime & Compliance: DOJ’s New Whistleblower Program
Riskology by Infortal: Episode 32 – Seeing Red: Supply Chain Crisis
Podcasting for Business - Elevating Your Business Podcast
Podcasting for Business - Combining Blueprints and Metrics in Podcasting
Compliance Tip of the Day: Compliance Training Governance Committee
FCPA Compliance Report: Spotlight on Executive at Risk: Latest Updates on The DOJ, OFAC, FCPA, and AML
Current Executive Compensation Trends in Private Equity Transactions — Troutman Pepper Podcast
Daily Compliance News: September 9, 2024 – The Way Forward for ESG Edition
In M&A transactions, the definitive purchase agreement—e.g., asset purchase agreement, stock purchase agreement, or merger agreement—typically contains representations and warranties that the seller makes with respect to the...more
Here are 10 bullets you can tell your senior management team and board based on lessons learned about shareholder proposals from this proxy season (hat tip to Proxy Analytics’ Steve Pantina for his help with these)...more
On September 9, 2024, three of the SEC’s five Commissioners voted to approve the new PCAOB Quality Control Standard QC 1000 A Firm’s System of Quality Control. The new standard will substantially revise and refine public...more
Public companies are under immense pressure to stay ahead of emerging trends, navigate increasingly complex regulations, and meet investor and other stakeholder demands. The expertise required to address these challenges is...more
A new federal law requires homes associations and neighborhood associations to disclose information about persons with control over the association. Why this matters for you. From Wall Street to Main Street to your...more
Throughout 2024, Nasdaq has been revising the procedures for companies dealing with low stock prices, with a focus on cutting down on what they deem to be cheap, risky stocks trading on their exchange. Here is what you need...more
Department of Defense (DOD) Proposed Rule: Transactions Other Than Contracts, Grants, or Cooperative Agreements for Prototype Projects - On September 4, DOD published a proposed rule and request for comments regarding...more
In 2024, compliance is no longer just a check-the-box function but a vital component of risk management, corporate governance, and business strategy. As companies scale and regulations become more complex, the traditional...more
The U.S. Securities and Exchange Commission (“SEC”) recently instituted proceedings against Deere & Company (“John Deere”), a leading global manufacturer of agricultural and heavy machinery, for multiple violations of the...more
Learn the keys to effective compliance auditing and monitoring - The auditing and monitoring process is critical to a compliance program’s success, in that it provides ongoing assessment of processes, procedures, and...more
In M&A transactions, the definitive purchase agreement (whether asset purchase agreement, stock purchase agreement, or merger agreement) typically contains representations, warranties, and covenants, along with related...more
On August 28, 2024, the Financial Crimes Enforcement Network (“FinCEN”) issued its “Anti-Money Laundering Regulations for Residential Real Estate Transfers” (the “Final Rule”), to become effective December 1, 2025. This Final...more
While the Securities and Exchange Commission’s (SEC) new climate-related disclosure rules remain stayed, the SEC has not abandoned its focus on sustainability-related issues. On September 10, 2024, the SEC charged Keurig Dr...more
The phrase “interesting recent decision” is sometimes overused, but in a notable decision, the EUIPO recently addressed a novel issue: whether retail services for virtual goods (specifically, "retail services in relation to...more
One of the challenges facing venture capital firms is how to handle investments in portfolio companies prior to the initial close (“Initial Close”) of a new fund (“New Fund”). Typically, the investment advisor (“VC Advisor”),...more
The operating provisions of the corporate income tax regime for Bermuda legislation will be effective for fiscal years beginning on or after 1 January 2025. This will apply to "Bermuda Constituent Entities" of an "In Scope...more
Effective January 1, 2024, the U.S. Department of Treasury’s Financial Crimes Enforcement Network (“FinCEN”) required certain newly formed and pre-existing entities to submit information regarding their beneficial owners and...more
In its September 11, 2024 opinion in Mayfield v. Department of Labor, the United States Court of Appeals for the Fifth Circuit held that the U.S. Department of Labor’s explicitly delegated authority to “define” and “delimit”...more
Success in defending against a personal injury lawsuit starts with the business’s response to the injury-inducing event. Personal injury lawsuits often turn on evidence that is created at the scene of the alleged injury. A...more
Retail employers in New York state will be required to issue workplace violence prevention policies and conduct annual workplace violence prevention training beginning March 3, 2025, under the New York Retail Safety Act...more
Many Americans value domestically made goods. A “Made in USA” label can hold special meaning for these consumers, as it serves as a symbol of patriotism, a sign of quality craftsmanship, and a show of solidarity with local...more
Who may be interested: Registered Investment Advisers, Registered Investment Companies, Compliance Staff - Quick Take: The SEC recently announced a number of enforcement actions relating to recordkeeping failures,...more
Effective September 15, 2024, the Connecticut Department of Consumer Protection (DCP) has announced a series of updates to its cannabis policies and procedures. These changes, spanning everything from lab testing to licensing...more
On Monday, September 9, 2024, the California FTB approved proposed amendments to California’s personal income tax code. This proposed rule would impose California income tax on non-resident/non-employee corporate...more
Real estate investors may be familiar with the acronym DST, which in the context of Internal Revenue Code Section 1031 like-kind exchanges, refers to a Delaware Statutory Trust. A 1031 DST is a vehicle by which a seller of...more