Back to School: 3 Essential Employee Trainings
The New EEOC Guidelines on Workplace Harassment
Managing Employee Compliance in Highly Regulated Industries — Hiring to Firing Podcast
What's the Tea in L&E? Supervisor Liability: What Managers Need To Know
Clocking in with PilieroMazza: The Labor Equation: Pricing for Success
Webinar: Is Your DEI Policy Setting You Up for a Lawsuit?
DE Talk Podcast | The Platinum Rule of Diversity, Equity, & Inclusion
DE Talk Podcast | Embracing Generational Differences at Work
What's the Tea in L&E? Truth Hurts or Rumors? Lizzo’s Harassment Allegations Serve As A Good Reminder
Transforming Leadership with Wisdom from the LGBTQ Community: On Record PR
DE Talk | From Human “Doing” to Human “Being”: Transforming to Own Your 50
Employment Law Now VII-137 - Training Managers to Manage and Avoiding The Peter Principle
DE Talk | Uncovering the Non-Traditional Workforce: Recruiting & Retaining Talent in Addiction Recovery
Cybersecurity: What Healthcare Providers Need to Know
DE Talk | Moving Off the DEIB “Treadmill” & Onto Progressive Change
Compliance Training & Adult Learning Theory
DE Talk | Top 5 Actions to Take After You Complete Your Affirmative Action Plan
What’s the Tea in L&E? Is There Such a Thing as a Purely Verbal Counseling?
California Employment News: The Basics of Mandatory Harassment Prevention Training
Podcast: California Employment News - The Basics of Mandatory Harassment Prevention Training
As we reach the midpoint of 2024, the SEC has maintained its rigorous enforcement stance on the private funds industry, proposing new rules and oversight tools to better identify and investigate market practices. As 2024...more
The SEC’s recent settlement involving a “pay-to-play” rule violation by a private equity firm is a timely reminder for fund managers, especially with the November elections approaching. As a refresher, Rule 206(4)-5 of...more
On February 13, the US Department of the Treasury’s (USDT) Financial Crimes Enforcement Network (FinCEN) issued a notice of proposed rulemaking (NPRM) which, if adopted, would sweep Security and Exchange Commission-Registered...more
On December 4, 2020, the SEC brought its first case charging a public company, The Cheesecake Factory, with making misleading disclosures about the effects of COVID-19 on its business operations and financial condition. The...more
The Office of Compliance Inspections and Examinations (OCIE) issued a risk alert on November 19, 2020 related to the Advisers Act compliance rule, Rule 206(4)-7. Some key takeaways for Chief Compliance Officers (CCOs) are as...more
On January 27, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its most recent Cybersecurity and Resiliency Observations. This report highlights specific practices that have been, and can be...more
On May 23, 2019, in recognition of the one-year anniversary of the passage of the Senior Safe Act, the SEC, the North American Securities Administrators Association and FINRA issued a fact sheet to raise awareness of the act...more
• The SEC released a Risk Alert summarizing key areas in which it continues to see compliance deficiencies related to Regulation S-P, the primary SEC rule regarding privacy notices and safeguard policies of investment...more
The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert on December 14, 2018 concerning the use of electronic messaging by registered...more
• On December 14, the SEC’s OCIE issued a Risk Alert summarizing the findings of its limited-scope examination initiative relating to electronic messaging. • Noting a “pervasive use” of electronic messaging by adviser...more
The Hedge Fund Law Report has quoted Akin Gump labor and employment partner Richard Rabin in an article series on the topic of employee handbooks for fund managers. In part one, “Why Every Fund Manager Should Adopt an...more
On August 7, 2017, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released a summary of its observations (the report) from cybersecurity examinations of 75...more