California Employment News: How to Draft Employee Disciplinary Records to Protect Your Business
Susan Roberts on Creating a Compliance Program Book
Political and Controversial Activity in the Workplace [More with McGlinchey Ep. 11]
I-17 – Engaging Your Employees in Today’s Workplace, Featuring Rick Turner at Whirlpool Corporation
Day 22 of One Month to Better Compliance Through HR-10 Questions to Better Operationalize Compliance
Day 21 of One Month to Better Compliance Through HR-the HR Gap Analysis for Compliance
Operationalizing Compliance Through Your Tone in the Middle
Day 11 of One Month to Better Compliance Through HR-the Fair Process Doctrine
Day 7 Of One Month To Better Compliance Through HR - Six Principles For Compliance Incentives
Ten Hallmarks of an Effective Compliance Program-Hallmark 6
Episode 155-Mara Senn on FCPA Investigations and the Decision to Self-Disclose
In the Department of Justice’s (DOJ’s) Evaluation of Corporate Compliance Programs (Evaluation), Prong 8 Incentive and Disciplinary Measures it states: Incentive System – Consistent Application – Have the disciplinary actions...more
The FCPA Guidance states, “In addition to evaluating the design and implementation of a compliance program throughout an organization, enforcement of that program is fundamental to its effectiveness. A compliance program...more
In this episode I visit with Mara Senn, a partner at Arnold & Porter on how to think through a FCPA investigation and she provides a decision making calculus on how to make a decision...more
The Justice Department and the SEC have underscored the importance of a company maintaining a clear disciplinary process so that executives, managers and employees are aware that a violation of the corporate code of conduct...more
Spence Barasch knows. You’ll remember that the SEC barred him for a year from appearing and practicing before the Commission for violating federal conflict of interest rules. Barasch was an associate director in the...more
In this issue: - SEC, CFTC and FINRA Issue Joint Advisory on Business Continuity and Disaster Recovery Planning - FINRA Updates Private Placement Form and Issues FAQ - SEC Approves Amendments to FINRA...more
FINRA recently amended Rule 4530 (Reporting Requirements) to make required reporting by member firms of certain regulatory and disciplinary events less burdensome. Those relatively minor changes will be discussed below. But...more