Implications of the SEC Cybersecurity Disclosure Rule
The Privacy Insider Podcast Episode 4: Don't Be Evil: In the Hot Seat of Data Privacy, Part 1
Privacy Issues from Third-Party Website Tags
Episode 331- NAVEX State of Risk and Compliance Programs
What the Board Should Be Asking About the Compliance Program
Managing Social Media Risk
Compliance Lessons from Dating in Your 50s
Managing Compliance Risk for Human Trafficking and Modern Slavery
Common Scenarios Triggering False Claims Act Violations, Part 3: Claims and Investigations
False Claims Act Insights - The Art and Science of Corporate Compliance in Managing FCA Risk
Preparing for a Government Healthcare Audit
Episode 318 -- LRN's Recent Study Underscores Importance of Ethical Culture and Values-Based Leadership
Understanding the HHS OIG’s General Compliance Program Guidance
Climate Risk, the emerging risk
What's Going on with FCPA?
Compliance, Project Management, and Process Improvement
Leaning in on AI in Compliance Programs
PODCAST: Williams Mullen's Gavels & Gowns - Title IX Regulations - Changes on the Horizon
Episode 312 -- Eddie Green, CEO SnippetSentry, on Communications Preservation Risks
Behavioral Health Compliance
SEC’s Division of Examinations (“EXAMS”) issued a risk alert on its Initial Observations Regarding Advisers Act Marketing Rule Compliance (the “Risk Alert”), giving compliance officers an unexpected gift by sharing examples...more
Our downloadable report, Legal Insights for Manufacturing, explores how the business, legal, and regulatory framework is evolving—and will evolve—to address the large generational shifts taking place. This year, our report...more
Compliance professionals regularly face various work-related challenges, yet the one shared most by everyone is timely access to accurate information. Such timely access is the key to compliance effectiveness mitigating the...more
The compliance date for the SEC’s new investment adviser Marketing Rule is November 4, 2022, allowing just over a month for an investment adviser to finalize its implementation process to comply with the Rule, which applies...more
Delve into critical legal and regulatory developments with the Canadian Institute’s 28th Annual Advertising & Marketing Law conference taking place virtually on January 18 – 19, 2022 (EST). This is Canada’s most comprehensive...more
Over a couple of blog posts, I am exploring topics raised in a recent Harvard Business Review (HBR) article, entitled “How to Design an AI Marketing Strategy: What the technology can do today—and what’s next”, by Thomas H....more
Many Chief Compliance Officers (CCOs) are still challenged by the concept of internal marketing for a compliance program. Indeed folks like Ronnie Feldman, founder of L&E Creative, and Ricardo Pellafone, founder of Broadcat,...more
The marketing and compliance departments don’t always hit it off from the start. The conflict is natural enough: each brings different qualities and mindsets to the job. Marketing is all about grabbing attention via...more
Though SEC scrutiny of performance results in fund marketing materials is nothing new, a recent settlement order suggests that the Commission continues to closely examine representations in marketing materials with respect to...more
Even the best compliance initiative can’t survive a bad rollout. That’s why it’s essential that the planning is done properly. In this podcast Grace Wu de Plaza, Director, Compliance & Corporate Integrity, Farmer Mac,...more
Is your organization using Adobe Experience Manager (AEM) to create user-level individualized website experiences? If so, kudos to you and your marketing team. We’ve been blown away by the degree of granularity and...more
In today's increasingly digital, collaborative, interactive, and social media-driven business landscape, the role of Marketing and the campaigns, content, and messaging these professionals create can produce significant,...more
Compliance does not exist in a time-warp vacuum, with programs living in 1977 when the first major anti-corruption legislation, the Foreign Corrupt Practices Act was passed. The law has advanced since that time, as has...more
As you might suppose I read quite a bit. One of the pleasures I receive each month is when the copy of the MIT Sloan Management Review arrives. I also find the articles highly topical and present ways to consider new...more
Welcome to Part I of Social Media Week. I recently did a webinar, hosted by The Network, on the use of social media in your Foreign Corrupt Practices Act (FCPA) compliance program. The response was as great as almost any...more
One of my favorite social media acquaintances is Gini Dietrich, the founder and Chief Executive Officer (CEO) of Arment Dietrich Inc. Not only does she bring one of the freshest voices to what might arguably be called ‘one of...more
The New York State Department of Financial Services (the “Department”) recently published its proposed rules and regulations (the “Proposed Rules”) for vendors conducting business involving virtual currency. The Proposed...more
One of the great plays and movies that I enjoy is ‘Glengarry Glen Ross’. As you might expect with anything that David Mamet pens the dialogue is absolutely spot on, fast paced and non-stop. The action generally revolves...more