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
Episode 335 -- The New DOJ Whistleblower Program
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
On September 9, 2024, the U.S. Securities and Exchange Commission announced it had settled charges against seven public companies that utilized employment and employment-related agreements that the SEC believed violated its...more
One of our recent posts discussed the uptick in AI risks reported in SEC filings, as analyzed by Arize AI. There, we highlighted the importance of strong governance for mitigating some of these risks, but we didn’t address...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
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
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
On September 9, 2024, a mediator from the French Financial Markets Authority (AMF) issued conclusions regarding the dispute over the closure of a client’s securities account. The account was closed because the client had...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
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 SEC recently announced the settlement of multiple enforcement actions for violations of its whistleblower protection rule, which prohibits “any action to impede an individual from communicating directly with the...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
September 10, 2024 - Federal Reserve Board Vice Chair for Supervision Michael S Barr delivered a speech at the Brookings Institution on re-proposal of regulations to implement the Basel III Endgame....more
Yesterday's post again discussed whether the Securities and Exchange Commission exceeded its authority in adopting Rule 21F-17(a), which provides...more
The U.S. Securities and Exchange Commission (SEC) has announced two settled charges involving alleged violations of Rule 206(4)-2 under the Investment Advisers Act of 1940 (Advisers Act), known as the “Custody Rule.” These...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
Earlier this year, the Department of Labor (DOL) updated the prohibited transaction exemption for Qualified Professional Asset Managers, often referred to as the “QPAM exemption.” Included in the update is a new requirement...more
The Compliance Podcast Network (CPN) and the Center for International Private Enterprise (CIPE) bring you Business Integrity Innovations. This podcast is inspired by Ethics 1st, a multi-stakeholder initiative led by CIPE that...more
Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more
Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. In this episode, we take up a potpourri of topics. We have the quartet of Matt Kelly Jonathan Armstrong, Jonathan Marks, and...more
Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen to the Daily Compliance News. All...more
So long ago that it may have slipped from memory, the U.S. Securities and Exchange Commission (“SEC”) adopted changes to the regime for reporting beneficial interests in publicly traded equity securities on Schedule 13G. The...more
I work for a public company that recently experienced a ransomware attack. Fortunately, we were able to restore our business operations quickly by obtaining a decryption key from the threat actor. Given that we managed to get...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
In SEC v. Jarkesy, the Supreme Court considered whether the Seventh Amendment permits the SEC “to compel respondents to defend themselves before the agency rather than before a jury in federal court.” The Court held that the...more
On August 23, 2024, the US Attorney’s Office for the Central District of California, which is the largest judicial district in the United States, announced a new Voluntary Self-Disclosure and Whistleblower Pilot Program. The...more
