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Professional Misconduct Regulatory Oversight

King & Spalding

The SEC’s New SOX Group – Potential Impacts for Audit Firms, Their Professionals, and Future PCAOB Enforcement

King & Spalding on

Recent reporting and official job postings have made clear that the SEC is forming a new group within its Division of Enforcement to focus on investigating and enforcing violations by audit firms and their professionals....more

Holland & Knight LLP

New York Bill Would Create Liability for Chatbot Proprietors Offering Professional Advice

Holland & Knight LLP on

The New York State Senate has advanced a bill that would bar "proprietors" of artificial intelligence (AI)-powered chatbots from providing "substantive" responses or advice that, if provided by a human, would constitute the...more

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

Goodwin

FINRA Adds Continuing Membership Application Requirement to Address Brokers With a History of Misconduct

Goodwin on

FINRA recently amended its rules in order to strengthen its tools to respond to brokers with a significant history of misconduct and the firms that employ them. The amended rules include FINRA’s Disciplinary Proceedings...more

Brooks Pierce

The impact of society’s demands for transparency on internal investigations and their investigators

Brooks Pierce on

There has been much attention — and rightfully so — on the impact of the #MeToo movement within the workplace. That impact has significantly changed employment policies and practices from large national corporations to small...more

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