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Keating Muething & Klekamp PLL

Securities Snapshot: 4th Quarter 2024 - 2025 Reporting Season – Key Considerations

As we bid farewell to 2024, we welcome not only another year but also several new disclosure requirements. In this Snapshot, we summarize several developments and best practices for public companies to consider as the 2024...more

Bass, Berry & Sims PLC

SEC Charges Former Public Company Director and CEO with Concealing Close Friendship with Company Executive

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As most public companies enter their fourth fiscal quarter and look ahead to filing their Form 10-Ks and proxy statements, a recent settlement agreement announced by the Securities and Exchange Commission (the SEC) serves as...more

Society of Corporate Compliance and Ethics...

[Event] 11th Annual European Compliance & Ethics Institute - March 20th - 22nd, Amsterdam, Netherlands

In-person is back! Join us in Amsterdam for the 2023 European Compliance & Ethics Institute! Strengthen your compliance and ethics program by attending our 11th annual European Compliance and Ethics Institute, 20-22 March...more

Oberheiden P.C.

Keys to Performing a Corporate Compliance Audit

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Compliance is a top legal concern for companies in all industries. From adequately protecting customer and employee data to avoiding allegations of bribery and fraud, compliance can mean different things under different...more

NAVEX

How Compliance Should Work With Business Operations: The First Line of Defense

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Compliance officers often struggle to develop the right working relationship between themselves and executives in the business operations — executives who, as best practices have told us for years, are supposed to “own the...more

NAVEX

3 Ways to Apply New DOJ Guidance to Antitrust Compliance

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The Justice Department gave compliance officers a significant piece of guidance in June with its latest update to the evaluation of corporate compliance programs. The guidance begs the fundamental question: Is the compliance...more

NAVEX

After COVID-19, Where Was the Board?

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COVID-19 is testing every part of a corporation and its business continuity planning. And the very top of the organization — namely, the board of directors — is no exception. What are the board’s responsibilities during...more

Foley Hoag LLP

SEC Division of Enforcement Warns of COVID19 Insider Trading Risks

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On March 23, the SEC Division of Enforcement (Enforcement) issued a public statement bluntly warning issuers and insiders connected to them, along with broker-dealers and investment advisers, about the unique risks of insider...more

Rumberger | Kirk

Workplace Violence: What Hospital Executives and Administrators Need to Know

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In today’s world, hospitals have to be prepared for anything and everything, and not just medical emergencies. They have to be prepared to handle all types of workplace violence, from active shooters to abuse from...more

Bass, Berry & Sims PLC

SEC Issues Report Warning about Fake Email Scams

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On October 16, 2018, the SEC issued a 21(a) report announcing that it had investigated whether certain public companies that were victims of oftentimes unsophisticated, cyber-related frauds had violated federal securities...more

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