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Foley & Lardner LLP

Dual-Hatted CEO and CCO Named Individually in SEC Settlement for Compliance Violations

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On December 5, 2022, the SEC filed a settled action against investment advisory firm Two Point Capital Management Inc. (the Firm) and its chief executive officer, who also served as the Firm’s chief compliance officer until...more

Health Care Compliance Association (HCCA)

[Virtual Event] Healthcare Enforcement Compliance Conference - November 7th - 9th, 8:55 am - 3:30 pm CST

Hear directly from the enforcement community - Want to gain insight into properly monitoring, detecting, investigating, and managing violations? Join us virtually at HCCA’s Annual Healthcare Enforcement Compliance...more

Davis Wright Tremaine LLP

[Webinar] 2021 DWT Healthcare Regulatory and Compliance Seminar - A Virtual Series - March 18th, 10:00 am - 12:00 pm PT

Please join us for our annual healthcare compliance seminar to discuss current developments in healthcare regulation and hospital compliance... Registrants will have the option of selecting the sessions they would like to...more

Davis Wright Tremaine LLP

[Webinar] 2021 DWT Healthcare Regulatory and Compliance Seminar - A Virtual Series - March 16th, 10:00 am - 12:00 pm PT

Please join us for our annual healthcare compliance seminar to discuss current developments in healthcare regulation and hospital compliance... Registrants will have the option of selecting the sessions they would like to...more

Davis Wright Tremaine LLP

[Webinar] 2021 DWT Healthcare Regulatory and Compliance Seminar - A Virtual Series - March 11th, 10:00 am - 12:00 pm PT

Please join us for our annual healthcare compliance seminar to discuss current developments in healthcare regulation and hospital compliance... Registrants will have the option of selecting the sessions they would like to...more

Davis Wright Tremaine LLP

[Webinar] 2021 DWT Healthcare Regulatory and Compliance Seminar - A Virtual Series - March 9th, 10:00 am - 12:00 pm PT

Please join us for our annual healthcare compliance seminar to discuss current developments in healthcare regulation and hospital compliance... Registrants will have the option of selecting the sessions they would like to...more

Vinson & Elkins LLP

Individual Criminal Liability For Failure To Disclose Data Breach Establishes A New Level Of Risk For Companies And Executives

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General Counsel and in-house legal departments have long struggled with articulating the risk of and determining the appropriate response to breaches of the company network and the potential exposure of confidential...more

Society of Corporate Compliance and Ethics...

[Webinar] Truth or Consequences: Demonstrating Regulator Ready Compliance Plans vs Consequences of “First Draft” Plans - July...

Main Points Covered: - Elements of a regulator’s thought process: understanding the use of your compliance information (or lack thereof) to determine consequences - Ways to demonstrate plan effectiveness for government...more

Health Care Compliance Association (HCCA)

[Event] 2020 Healthcare Enforcement Compliance Conference - November 15th - 18th, Washington, DC

Regulations play a major role in the health care industry and it can be overwhelming to understand and stay on top of everything. This conference is a once-a-year opportunity to gain insight into properly monitoring,...more

Health Care Compliance Association (HCCA)

[Event] Healthcare Enforcement Compliance Conference - November 3rd-6th, Washington , DC

Prepare your organization to respond to the ever-increasing emphasis on healthcare compliance issues by enforcement authorities. Hear first-hand from government officials about regulatory changes, expectations, and key...more

Foley & Lardner LLP

The Twelve Compliance Steps Every Multinational Corporation Should Undertake in Light of Recent Trump Administration Enforcement...

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Over the last month, regulators with the Trump administration sent a loud message to companies subject to U.S. jurisdiction: Enforcement of laws governing international activities is alive and well and the laws will continue...more

The Volkov Law Group

The Necessary Ingredient to Compliance Success: Interpersonal Skills

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We always bandy the phrase around of “people skills,” or the old trendy phrase of “emotional intelligence.” Hopefully, this posting can create some ideas around new approaches to these old concepts and trendy terminology....more

Thomas Fox - Compliance Evangelist

Economic Downturn Week, Part III – The Desktop Risk Assessment

I continue my exploration of actions you can take to improve your compliance program during an economic downturn with a review of what my colleague Jan Farley, the Chief Compliance Officer (CCO) at Dresser-Rand, called the...more

The Volkov Law Group

CCOs Speak With Their Feet

The Volkov Law Group on

Chief Compliance Officers act with integrity. When it comes to their work, they know when an organization is committed to compliance. They also know when ethics and compliance is “window dressing.”...more

Akin Gump Strauss Hauer & Feld LLP

Executive Compensation Considerations for 2014

Executive compensation is a topic that just won’t go away, particularly with pay disparity and pay for performance regulations still looming. We highlight below some of the matters directors should be considering as they...more

Troutman Pepper

SEC Hits The ‘Reset Button’ On Failure To Supervise Liability For Legal And Compliance Personnel

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On September 30, 2013, the U.S. Securities and Exchange Commission (SEC) – quietly, and with little fanfare – released an informal statement of policy in the form of frequently asked questions (FAQ), in which it addressed its...more

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