News & Analysis as of

Recordkeeping Requirements Ethics

Royer Cooper Cohen Braunfeld LLC

Is it Time to Test Your Recordkeeping and Code of Ethics?

Washington D.C., April 3, 2024, the SEC announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications, as...more

The Volkov Law Group

Episode 312 -- Eddie Green, CEO SnippetSentry, on Communications Preservation Risks

The Volkov Law Group on

Companies have a vested interest in preserving internal communications for a variety of reasons — to hold actors accountable and to protect the organization from potential private and government claims or investigations that...more

Guidepost Solutions LLC

Emerging Expectations from the Latest Enforcement Actions Over Off-Channel Communications

Since December 2021, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) have levied almost $3.0 billion in penalties for longstanding failures by 39 broker-dealers, swap dealers,...more

Health Care Compliance Association (HCCA)

Regulations, contracts, and credentialing for medical directors and attending physicians

There are many rules and regulations governing attending physician visits and medical directors. Unfortunately, there is plenty of room for error when documenting attending physician visits, establishing medical director...more

DirectEmployers Association

OFCCP Week In Review: January 2022 #2

The DE OFCCP Week in Review (WIR) is a simple, fast and direct summary of relevant happenings in the OFCCP regulatory environment, authored by experts John C. Fox, Candee Chambers and Jennifer Polcer. In today’s edition, they...more

Lewitt Hackman

Whacky Employment Claims: Who's Whackier? Management or the Employee?

Lewitt Hackman on

As employment defense attorneys, we see many strange situations arise in the workplace. The question is, how prepared are you as an employer to handle the wackiness that may potentially arise when your employees make...more

Latham & Watkins LLP

Beyond Schrödinger's Cat: Why an Operating Company Can't be an "Investment Company" at the Same Time

Latham & Watkins LLP on

Erwin Schrödinger famously illustrated an aspect of quantum mechanics with a cat that is simultaneously both alive and dead. Schrödinger’s cat sometimes comes to mind when we are asked about inadvertent investment companies –...more

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