News & Analysis as of

Code of Conduct

Data and sporting integrity - the key issues to consider

by DLA Piper on

I spoke at Sportel in October about data issues in relation to the regulation of sport, particularly in relation to betting integrity. The topic raises a number of knotty issues...more

[Webinar] Legal Insights Into Ethics & Compliance - December 5th, 10:00am PT

by NAVEX Global on

Join this free webinar to get unique insights and benchmarks for compliance programs from the eyes of legal professionals. You’ll hear how legal departments view compliance training, third-party risk management and policy and...more

If You’re a Cloud Provider or Consumer, Consider These Guidelines on How to Conduct Yourself in Europe: eDiscovery Best Practices

by CloudNine on

While we were preparing to eat turkey and stuff ourselves with various goodies last week, the Cloud Security Alliance (CSA) provided an important guideline for compliance with the European Union General Data Protection...more

Third Party Risk Management: Require ISO 37001 Certification from Your Third Parties

by Michael Volkov on

A lot of the focus on ISO 37001 so far has been on its value for companies considering certification as evidence of the quality of their own compliance program. With the SEC and DOJ both providing ample guidance to companies...more

GDPR Update: Transfer of Personal Data (outside the EEA)

by Dentons on

In this GDPR update, we will address the transfer of personal data outside the European Economic Area (EEA)....more

Using Movie Clips to Expand Your Compliance Classroom

by Thomas Fox on

Create unforgettable teachable moments - Instead of having lawyers drone on, giving forgettable instructions on ethics, culture and honesty; they will clearly enjoy a scene of a star like Leonardo DiCaprio bluffing his way...more

The 10 Hallmarks of an Effective Compliance Program: Still the Foundation

by Thomas Fox on

The joint Department of Justice (DOJ) and Securities and Exchange Commission (SEC) 2012 FCPA Guidance came out five years ago this month. As a commentator focusing on the doing of compliance, we should pause to once again...more

Asset Management Regulatory Roundup - November 2017 - Issue 10

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on the amendments to the European Venture Capital and Social Entrepreneurship Fund...more

Corporate and Financial Weekly Digest - Volume XII, Issue 43

by Katten Muchin Rosenman LLP on

SEC/CORPORATE - On November 1, the Division of Corporation Finance of the Securities and Exchange Commission (Division) published Staff Legal Bulletin No. 14I (SLB 14I), which provides new, issuer-friendly guidance on...more

Remembering My Father to Honor Veteran’s Day

by Thomas Fox on

Procedural fairness is one of the things that will bring credibility to your compliance program. Today it is called the Fair Process Doctrine and this Doctrine generally recognizes that there are fair procedures, not...more

Workplace romances: Do they ‘Suit’ your company?

by FordHarrison on

Workplace romances, especially between persons at different levels in a company, can lead to HR nightmares. Notably, some polls reflect that more than 80% of employees have been involved in, or know about co-workers who have...more

Day 3 of One Month to 360-Degrees of Communications in Compliance-The D&B Experience

by Thomas Fox on

How does one company and one Chief Compliance Officer (CCO) actively use social media to make more effective the company’s compliance culture? The company is the Dun & Bradstreet (D&B) and its CCO, Louis Sapirman, whom I...more

Rules of Professional Conduct Applying to Latin American Attorneys

by Zelle LLP on

International insurers and reinsurers are likely to retain legal services from local attorneys in 29 Latin American countries. Consumers of legal services in Latin America often question whether the rules of professional...more

Am I My Director’s Keeper?

by Gray Reed & McGraw on

Board of directors member Y.I. Gnough, who is also president of Algae Company, is in a pickle. Although denying any knowledge of sexual harassment and misconduct by the company founder and deal-maker Iam Algae, three co-board...more

I-17 – Engaging Your Employees in Today’s Workplace, Featuring Rick Turner at Whirlpool Corporation

by Cozen O'Connor on

Michael Schmidt, vice chair of Cozen O'Connor’s Labor & Employment Department, discusses how to engage your employees in today’s unique workplace and navigate a multi-jurisdictional set of employment laws. This episode...more

Lawyers Can Be A Positive Force for Compliance

by Michael Volkov on

Lawyers get a bad rap, and I am not just referring to all the lawyer jokes we have heard numerous times. Lawyers get a bad rap when it comes to compliance. Much of it is not deserved – but candidly, some of it is deserved....more

New Standards of Conduct for Companies Seeking to Operate with Respect for the Rights of LGBTI People

On September 26, the U.N. High Commissioner for Human Rights released new Standards of Conduct intended to support the business community in tackling discrimination against lesbian, gay, bisexual, transgender, and intersex...more

Is It Worth Fighting For (Recusal)?: The Tennessee Supreme Court Clarifies Judicial Canons on Personal Knowledge and Independent...

In 2012, Jeanie Holsclaw filed an action against Ivy Hall Nursing Home, Inc. for retaliatory discharge. Following several years of extensive discovery and the recusal of two trial judges, Ivy Hall sought to have a certified...more

Does Sorry Have to be the Hardest Word in the Workplace?

by Shipman & Goodwin LLP on

When was the last time you said you’re sorry to someone at work. Last week? Last month? Last year? Never? There isn’t a right answer to this but I was thinking about this yesterday on the Jewish New Year....more

How will the extended SMCR apply to NEDs?

by Dentons on

The Financial Conduct Authority (FCA) has consulted on the way in which the senior managers and certification regimes (SMCR) will be rolled out to all authorised firms, probably from next year. From the inception of the SMCR,...more

CEO Leadership – Honesty, Integrity, Listening and Empathy

by Michael Volkov on

At the outset, let me concede that I am not a psychiatrist (although we all feel like one at times with family members and colleagues). My observations on CEO leadership come from my own life experiences, and professional...more

The FX global code - indirect regulatory effect

by DLA Piper on

Introduction In recent years, misconduct revelations in relation to foreign exchange (FX) trading have dogged the FX market. Billions in fines have been levied by the Financial Conduct Authority (FCA) and other global...more

Challenges in Transitioning from the Law to Compliance

by Michael Volkov on

The legal profession is undergoing significant changes. With an over-supply of attorneys and lower profits, lawyers are looking for new angles to distinguish themselves in the marketplace....more

'Perception of Bias, Impartiality & Justifiable Doubts': The Case of Arthur Aldcroft

by Reed Smith on

Whether arbitrations are administered or ad hoc, parties within certain industry sectors will often require disputes to be resolved by arbitrators from panels of professional associations, such as GAFTA, FOSFA, LMAA or the...more

SFC (the “Commission”) Expresses Concern over Irregularities in Asset Management Activities

•The Commission has identified a number of regulatory concerns with respect to private funds and discretionary accounts, in particular, funds with concentrated, illiquid and interconnected investments. •The Commission has...more

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