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Professional Misconduct Best Practices

Procopio, Cory, Hargreaves & Savitch LLP

AI in the California Legal Profession: Dangers and Guidelines

The use of artificial intelligence (AI) has become prevalent in nearly every sector of society, and the practice of law is no exception. However, as with other technological innovations, the rapid development and refinement...more

StoneTurn

Nurturing Ethical Excellence in Financial Services: Bridging the Integrity Gap

StoneTurn on

The Fortieth Cambridge International Symposium on Economic Crime, held recently, was entirely focused on “Integrity”. This highlights the importance of integrity in organisational life (as well as in our private lives)....more

BCLP

In Finding a Failure to Reasonably Supervise, SEC Highlights Responsibilities of Firms to Create Clear, Written Investigatory...

BCLP on

A recent Securities and Exchange Commission (“SEC”) order imposed sanctions on a financial institution for failing to reasonably supervise a representative’s conduct. In its findings, the SEC highlights the institution’s...more

BakerHostetler

DOJ Takes Aim at Responsible Individuals in Corporate Investigations

BakerHostetler on

U.S. Deputy Attorney General Sally Quillian Yates recently announced new instructions for attorneys at the U.S. Department of Justice (DOJ), outlining in a memorandum the DOJ’s policies with respect to civil and criminal...more

Thomas Fox - Compliance Evangelist

Compliance at the Tipping Point, Part I – The Yates Memo

This is the day that the US government traditionally celebrates Columbus’ discovery of the Americas, in the form of Columbus Day. My grandfather emigrated from Italy so he always took Columbus Day as his heritage day. My...more

Foley & Lardner LLP

Separately Assessing Separation Agreements

Foley & Lardner LLP on

Separation or severance agreements —which typically provide a terminating employee with some kind of cash payment, temporary salary continuation, or other gratuitous benefit in exchange for a release of claims — have their...more

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