Rethinking Records Retention
Compliance Tip of the Day: Internal Controls for GTE
Work This Way: A Labor & Employment Law Podcast | Episode 48: Opportunities & Risks with Artificial Intelligence in HR with Chingwei Shieh of GE Power
Handling References and Referrals While Safeguarding Your Business
Healthcare Enterprise Risk Management
Hospice Insights Podcast - Still Number One: Healthcare Fraud Remains Central in DOJ’s White Collar Enforcement Plan
Importance of Compliance Management in times of transition
AI on the Job: How to Stay Ahead of Employment and Data Privacy Risks
Law Firm ERGs Under Scrutiny: Navigating Compliance, Risk, and Culture - On Record PR
Your Guide to Dealing with Subpoenas Effectively
Upping Your Game: Harnessing AI to Revolutionize Third-Party Risk Management
The Future of Supply Chains: Chris Andrassy on Using AI to Predict & Prevent Disruptions
Navigating Legal Strategies for Covering GLP-1s in Self-Insured Medical Plans — Employee Benefits and Executive Compensation Podcast
Podcast: Addressing Patient Complaints About Privacy Violations
London Partner Roberta Downey Wired for Disputes: Tech, Infrastructure, and the New Frontier of Risk
Compliance Amidst a Global Consensus Breakdown
Compliance Tip of the Day: Discipline and Rigor in GTE Internal Controls
Great Women in Compliance: Board Bond - Why Ethics & Compliance Professionals Should Be on Boards and How to Get on One
Daily Compliance News: May 28, 2025, The Moron Premium Edition
Compliance Tip of the Day: What are Internal Controls?
The International Organization of Securities Commissions (IOSCO) has published its final report containing revised recommendations for liquidity risk management for collective investment schemes (CIS), accompanied by...more
On the heels of the publication by the International Association of Insurance Supervisors (IAIS) of a draft consultation paper analysing the structural shifts in the life insurance sector to increase allocations to...more
The NAIC Spring National Meeting was held in Indianapolis from March 23-26, 2025. This update reports on some highlights of the Spring National Meeting sessions relating to insurance company investments....more
There has been a lot of conjecture that the SEC may become friendlier to registrants because of the new administration. Given the SEC’s mandate to protect the investing public, however, we do not expect SEC examiners to...more
On 9 October 2024, the Securities and Futures Commission (the “SFC”) issued a circular (the “Circular”) highlighting deficiencies and substandard conduct observed during its supervision of licensed corporations engaged in...more
While there is rest for weary legal and compliance pros at asset managers, and as you enjoy a cool Arnold Palmer in your hammock this Independence Day, spend a few minutes thinking about how your firm can leverage this moment...more
Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more
New Rules, Proposed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European...more
The SEC recently published two rule proposals to address concerns over the Commission’s ability to gauge and monitor any risks that the asset management industry poses to the financial system and investors. This includes the...more