Career Can Do: Mastering Media and Networking for Career Success with Kevin Price
The Ethics Experts: Episode 182 – Olaf Casperson
Corruption, Crime and Compliance: Review of Recent DOJ Declinations
Compliance Tip of the Day: How a CEO Can Set The ‘Tone at The Top’- Part 1
Daily Compliance News: September 16, 2024 – The Retire at 80 Edition
FCPA Compliance Report: Kevin Carroll on The Trump Superseding Indictment
10 For 10: Top Compliance Stories For The Week Ending September 14, 2024
Compliance Tip of the Day: Protecting Against Pre - taliation
Fox on Podcasting: Marilyn Jenkins on The Power of Audio in Legal Thought Leadership
Daily Compliance News: September 13, 2024 – The Politics as Usual Edition
Regulatory Ramblings: Episode 53 – Advanced Quantum Computing Threatens Blockchain Transactional Security and Anonymity with Kapil Dhiman (Quranium)
Business Integrity Innovations: Partners of Trust: Building U.S.-Africa Business Relations with Kendra Gaither
Compliance Tip of the Day: Podcasting for Compliance Training
Everything Compliance: Episode 140, The Fall is in The Air Episode
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 following article is part three of our series on the 2022 Amendments to the UCC. Please read the first two articles for context. I am going to get right to the point here – the reason that the definition of money has been...more
On September 10, the Securities and Exchange Commission (the Commission or SEC) charged Keurig Dr Pepper Inc. (Keurig) for making inaccurate statements about the recyclability of its K-Cup single-use beverage pods. Without...more
As Bloomberg Law recently reported, the SEC quietly disbanded its Climate and ESG Task Force, which had been active since March 2021 and played a key role in bringing enforcement actions against misleading environmental,...more
AI has revolutionized the way many businesses operate. Firms in the financial sector are eager to take advantage of rapidly developing technologies but do not want to risk running afoul of relevant Securities and Exchange...more
According to recent reports, two U.S. multinational financial technology companies have integrated Ethereum Name Service (ENS), a decentralized naming system built on the Ethereum blockchain, into their payment platforms....more
In 2021, Congress passed an emergency measure to save the U.S. Commodity Futures Trading Commission (CFTC) Whistleblower Program from financial collapse. This measure is set to expire at the end of September, threatening to...more
The SEC has begun to bring enforcement actions against companies whose employment and client agreements could appear to infringe on the right to report cases in violation of Section 21f-17(a) of the Exchange Act. On September...more
According to a 2023 survey discussed in Global Executives Say Greenwashing Remains Rife in the WSJ, executives think greenwashing is widespread: almost “three-quarters of executives said most organizations in their industry...more
On September 12, 2024, the Commodity Futures Trading Commission (CFTC) finalized the first major changes to CFTC Regulation 4.7 (Rule 4.7) in over 30 years. Among other technical revisions, the amendments to Rule 4.7,...more
In a market known for volatility, public company D&O (directors & officers) insurance has certainly lived up to its reputation in recent years—pricing has been on a roller coaster, fluctuating between skyrocketing increases...more
In October 2023, the U.S. Securities and Exchange Commission (SEC) approved final rules amending the beneficial ownership reporting requirements under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934 (Exchange...more
Companies impacted by CrowdStrike’s defective software update should consider the following long-term reporting implications...more
Over the last few months, the U.S. Securities and Exchange Commission (“SEC”) discretely disbanded the Climate and ESG Taskforce (“ESG Task Force”) of its Division of Enforcement. The move follows a wave of recent pushback...more
For one of our authors, their kids’ current favorite treat is a chocolate bar sold by a popular YouTube personality (and philanthropist!). The kids know about this particular chocolate bar because the personality promotes it...more
In a much-anticipated ruling of 3 September 2024, the EU's highest court threw out the policy that the European Commission has been pursuing since 2021, by which it asserted jurisdiction to review so-called “killer...more
It has been reported that the Securities & Exchange Commission has disbanded its Climate & ESG Task Force. This same task force had been launched with great fanfare in March 2021, at the beginning of the Biden...more
As discussed in our December 15, 2023 client alert, the SEC has waged an aggressive effort to enforce alleged violations of the whistleblower protection rule. On September 9, 2024, the SEC announced settled charges resulting...more
This post is an update of a previous post. On 27 March 2024, government legislation (Financial Services and Markets Act 2000 (Financial Promotion) (Amendment and Transitional Provision) Order 2024 (SI 2024/301), the “March...more
The U.S. Securities and Exchange Commission (SEC) has confirmed that its climate and environmental, social, and governance (ESG) enforcement taskforce has been disbanded....more
The deadlines for filing and amending Schedule 13Gs are about to change, and regular 13G amendments will now be due on a quarterly basis instead of annually. As we discussed in our alert last fall (available here), in...more
In July 2024, the UK’s Financial Conduct Authority (“FCA”) published its “Quarterly Consultation Paper No. 44” (“Consultation”), which proposed introducing a requirement to provide criminal background checks on owners and...more
Have you ever wondered why some people seem to effortlessly climb the career ladder while others, equally skilled, struggle to advance? The answer often lies in a crucial, yet sometimes overlooked, element: strategic...more
In this episode of The Ethics Experts, Nick welcomes Olaf Casperson. Olaf Casperson is the Chief Ethics and Compliance Officer for HCLTech. In this global role, he is responsible to the Board of Directors, CEO, and General...more
What’s the real cost of keeping corporate misconduct hidden? In this episode of Corruption, Crime, and Compliance, Michael Volkov explores how the DOJ’s recent declinations highlight the risks and rewards of voluntary...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
