California Employment News: Creating the Report for a Workplace Investigation – Part 4 (Featured)
Compliance Tip of the Day: COSO Objective 3 – Control Activities
Compliance Tip of the Day – COSO Objective 1 – Control Environment
Hiring Smarter: Best Practices for Interviews: What's the Tea in L&E?
Compliance Tip of the Day: Code of Conduct as an Internal Control
California Employment News: Gathering Information in a Workplace Investigation – Part 2 (Featured)
Compliance Tip of the Day: Risk Assessments and Internal Controls
FCPA Compliance Report: The Role of Culture and Data in Fraud Risk Management - A Conversation with Vincent Walden
Compliance Tip of the Day: Podcasting for Compliance Training
Compliance Tip of the Day: Compliance Training Frequency
Compliance Tip of the Day: Using Supply Chain to Innovate in Compliance
Innovation in Compliance: Innovative Approaches to Compliance and Training with Catherine Choe
Work This Way: A Labor & Employment Law Podcast | Episode 46: The 2025 Greenville SHRM Conference with Tyler Clark and Brittany Goforth of GSHRM
Compliance tip of the Day: Communication Through Persuasion
Compliance Tip of the Day: Middle Managers as the Eyes and Ears of Compliance
Joe Green & Monica Rodriguez Kuniyoshi on Integrating Generative AI with Your Experts - Passle CMO Series Podcast RE-RELEASE:
Compliance Tip of the Day – Role of Chatbots in Compliance
FCPA Compliance Report: Kristy Grant-Hart on A 360° Review of the Future of Compliance
Compliance Tip of the Day: Embedded Compliance
A Blueprint for Efficient SRRs: Mastering Your Subject Rights Workflow
In the latest episode of Health Law Diagnosed , Of Counsel Bridgette Keller hosts a discussion of best practices for interacting and communicating with the FDA. Hear from Joanne Hawana and Ben Zegarelli, FDA specialists...more
An organization’s code of conduct often serves as the foundation upon which other elements of the compliance program—such as employee training and communications—are built. More than just a tool for establishing baseline...more
Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance...more
Summary The Ohio State Dental Board (the “Board”) recently updated its position statement, “Role of the Dentist in the Treatment of Sleep-disordered Breathing.” ...more
The Commodity Futures Training Commission’s (“CFTC”) Division of Market Oversight and Division of Clearing and Risk issued an advisory (the “Staff Advisory”) reminding designated contract markets (“DCMs”) and derivatives...more
The European Commission revised the Code of Best Practices for the conduct of State aid control procedures. The revised Code opens a pathway for NGOs to challenge State aid decisions on EU environmental law grounds....more
“AI governance” is a rapidly developing field of research that focuses on the risks and controls related to AI platforms. Recently, a team of researchers from the Institute for AI Policy and Strategy has proposed a framework...more
On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory Oversight Report.1 The report collects recent observations and findings from FINRA's oversight programs –...more
Staying the course in compliance is crucial, especially during uncertain political times. Regulatory updates like the new AML rule and Cybersecurity can have a significant impact on your program, and it's important for...more
Artificial intelligence (AI) has the power to revolutionize health care. In oncology, there are now opportunities to apply AI to support diagnostics, predictive analytics, and administrative functions. This hot topic was...more
Open models play a crucial role in fostering a diverse and innovative AI ecosystem. But their irrevocable accessibility also presents challenges for preventing downstream misuse—and that has caught the government’s attention....more
The U.K. Financial Conduct Authority has published its key findings, good practices and areas for improvement following a review of how principal firms are meeting the FCA's enhanced appointed representative rules that were...more
In times of economic uncertainty, lending is not exclusively within the realm of banks. Non-financial institutions, such as corporate entities, pension funds, insurance companies, and even high-net-worth individuals, play a...more
Government scrutiny doesn’t just come from law enforcement agencies and it doesn’t just come one jurisdiction at a time—in today’s global economy, it can come from multiple angles, all over the world. In this presentation, ...more
ACI’s 8th Annual Legal, Regulatory, and Compliance Forum on Fintech & Emerging Payment Systems will provide in-depth guidance on the latest regulatory developments at the Federal and State Level that you need to be aware of....more
With so many new, emerging risks coming to the forefront, ACI is excited to announce our Digital Assets Compliance: AML, Sanctions and Regulatory Oversight. Unlike other conferences, this highly anticipated event stands apart...more
The idea that investors might choose to consider certain environmental, social, and governance factors when deciding whether to buy shares of a company—a concept commonly known as ESG—continues to gain popularity with...more
Artificial intelligence (AI) has captured the imagination and generated excitement with consumers and businesses, but at the same time, developments in AI have also raised public concerns and spawned regulation that sometimes...more
Our Virtual Regional Healthcare Compliance Conferences provide updates on the latest news in regulatory requirement, compliance enforcement, and strategies to develop effective compliance programs. Watch, listen, and ask...more
Institutional investors and regulators across the globe are increasingly focusing on environmental, social and governance (ESG) issues in terms of investment portfolio composition, corporate best practices and corporate...more
The 340B Program has gained national attention over the last decade, in part due to the opportunities it provides to generate revenue for participating entities without risk of significant enforcement penalties for...more
In a press release on June 8th, the Commodity Futures Trading Commission (the “CFTC”) published its first release in a series called the “SOFR First Transition Initiative” as a best practice. One goal for this sort of “best...more
This week, I published a post on the Center for California Water Resources Policy and Management’s DeltaCurrents blog discussing the role of conceptual ecological models in implementing the federal Endangered Species Act....more
The exact dollar amount that third-party investors infuse in U.S. lawsuits every year is unknown, but conservative estimates begin around $2.3 billion, with agreement that the industry has room to grow. With the ongoing...more
The Compliance Institute is celebrating 25 years! Join us for the Compliance Institute's 25th anniversary, April 19-22, 2021. This year, HCCA is excited to celebrate over two decades of compliance excellence with our...more