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Reporting Requirements Code of Conduct

Foley & Lardner LLP

SEC’s Focus on Whistleblower Protection Practices Continues

Foley & Lardner LLP on

On September 9, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges against seven public companies for alleged violations of Securities Exchange Act Rule 21F-17. According to the SEC,...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

New York State’s Expanded Whistleblower Protection Law: 5 Action Items for Employers

On January 26, 2022, amendments to New York’s whistleblower protection law, codified at section 740 of the New York Labor Law (NYLL), took effect. As we previously reported, these amendments significantly expand the scope of...more

Akin Gump Strauss Hauer & Feld LLP

In Principle: 10 Things Authorised Firms Need to Know for 2018 – The World of Financial Regulation as the UK Prepares to Exit the...

There is much for authorised firms to consider in the year ahead. Firms have been through the intensive period of the enactment of the second Markets in Financial Instruments Directive (MiFID II), but must now step up their...more

Dechert LLP

Financial Services Quarterly Report - Fourth Quarter 2017: Hong Kong’s New Asset Management Regulations

Dechert LLP on

The Hong Kong Securities and Futures Commission (SFC) on 16 November 2017 published its Conclusions on its one-year consultation in relation to enhancement of asset management regulation and point-of-sale transparency...more

Katten Muchin Rosenman LLP

Disruptive, Aged & Impaired Physicians Legal Updates

In This Presentation: - What is Disruptive/Impaired Behavior? - Main Impediments to Addressing Unprofessional Behavior - Components of Successful Policies - A Legal Perspective - Joint Commission and...more

PilieroMazza PLLC

Understanding SBA s Affiliation Rules

PilieroMazza PLLC on

In this presentation: - Why size matters - How affiliation impacts small business status - Overview of SBA’s affiliation rules and exclusions from affiliation - Tips to avoid/mitigate common...more

Thomas Fox - Compliance Evangelist

Codes Of Conduct: What Are They Good For?

I had an interesting and frustrating conversation with a relative about the work that I do, which includes working with companies on refreshing their Codes of Business Conduct. ...more

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