News & Analysis as of

Risk Mitigation Policies and Procedures

Health Care Compliance Association (HCCA)

[Event] Healthcare Basic Compliance Academy - December 9th - 12th, San Diego, CA

Ideal for practitioners who want to build strong foundational knowledge of compliance program management in a healthcare setting and how to apply that knowledge in practice. Attendees will come away better prepared to...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - December 9th - 12th, San Diego, CA

Ideal for practitioners who want to build strong foundational knowledge of compliance program management and how to apply that knowledge in practice. Attendees will come away better prepared to support, enhance, and manage a...more

Walkers

Rule and Statement of Guidance on Market Conduct for Trust and Corporate Service Providers and Company Managers

Walkers on

The RSOG builds upon and clarifies existing market conduct standards for TCSPs and Company Managers where the underlying requirements are generally the same but with some differences. The RSOG implements market conduct...more

Harris Beach PLLC

What to Include in Your Company’s Internal Generative AI Use Policy

Harris Beach PLLC on

As generative artificial intelligence continues to revolutionize business operations across industries, it has become imperative for companies to establish robust internal policies governing its use by employees. This alert...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - November 18th - 21st, Boston, MA

Ideal for practitioners who want to build strong foundational knowledge of compliance program management and how to apply that knowledge in practice. Attendees will come away better prepared to support, enhance, and manage a...more

Health Care Compliance Association (HCCA)

[Event] Healthcare Basic Compliance Academy - November 18th - 21st, Boston, MA

Ideal for practitioners who want to build strong foundational knowledge of compliance program management in a healthcare setting and how to apply that knowledge in practice. Attendees will come away better prepared to...more

SEC Compliance Consultants, Inc. (SEC³)

How Much Testing is Enough?

Most compliance officers struggle to determine whether they are conducting enough testing to satisfy their obligations under the Advisers Act. In its release adopting Advisers Act Rule 206(4)-7, the SEC stated that an...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - November 3rd - 6th, Dubai, United Arab Emirates

Ideal for practitioners who want to build strong foundational knowledge of compliance program management and how to apply that knowledge in practice. Attendees will come away better prepared to support, enhance, and manage a...more

PilieroMazza PLLC

Managing Small Business Risk, Part I: Expect Litigation Even When It Seems Unlikely

PilieroMazza PLLC on

No business wants to be investigated or charged by the government, sued by a competitor, or compelled to defend against an employment lawsuit. The risks of such litigation to any company are so predictable, though, that large...more

Latham & Watkins LLP

SEC Imposes New Cybersecurity Requirements on BrokerDealers, Investment Companies, Registered Investment Advisers, and Transfer...

Latham & Watkins LLP on

Covered institutions will need to review their cybersecurity and incident response policies and procedures ahead of the applicable compliance deadline. The Securities and Exchange Commission (SEC) recently adopted...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - September 30th - October 3rd, Amsterdam, Netherlands

Ideal for practitioners who have some compliance knowledge and are ready for a deeper dive, SCCE’s Basic Compliance & Ethics Academy provides comprehensive, classroom-style training in the essentials of managing a compliance...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - October 21st - 24th, Seattle, WA

Ideal for practitioners who have some compliance knowledge and are ready for a deeper dive, SCCE’s Basic Compliance & Ethics Academy provides comprehensive, classroom-style training in the essentials of managing a compliance...more

DRI

Young Lawyers: Raising the Bar - Preventing and Defending Bad Faith Lawsuits

DRI on

Bad Faith in Context - Bad faith most commonly arises in one of three different contexts: (1) in a claim that an insured brings against its own insurer; (2) in a claim that a third-party makes against a policyholder that...more

Guidepost Solutions LLC

Mandatory Reporting: Essential Insights for Child-Centric Organizations

For institutions and organizations entrusted with the care of children, such as schools, daycares, hospitals, faith-based communities, camps and sports teams, the responsibility to safeguard their well-being is vital....more

EDRM - Electronic Discovery Reference Model

Navigating a Shifting Landscape

An Interview with Dr. Maura Grossman by Kate Halloran - What do you recommend that law firms focus on when developing policies around the responsible use of AI? Firms must have a very clear idea of the scope of permissible...more

White & Case LLP

Publication of Joint Discussion Document on Expansion of Eligible Collateral Types and Risk Mitigation Published for Comment

White & Case LLP on

In 2015, a policy framework on the margin requirements for non-centrally cleared over-the-counter derivatives (OTC Derivatives) transactions was published by the Basel Committee on Banking Supervision and the International...more

Mitratech Holdings, Inc

Speak-Up Culture: Why It Matters and How to Build It

Tips For Assessing The State of Your Workplace Culture in Promoting Openness, Trust, and Inclusion. 6,000 more anonymous hotline reports were filed in 2023 than 2022, according to the respondent of Mitratech’s 2024 State...more

Health Care Compliance Association (HCCA)

An inside view of HIPAA enforcement

While many healthcare providers are generally aware of their obligations under HIPAA, most do not have a clear sense of what happens if they fail to meet these obligations. At best, most probably are familiar with headlines...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - August 19th - 22nd, Washington, DC

Ideal for practitioners who have some compliance knowledge and are ready for a deeper dive, SCCE’s Basic Compliance & Ethics Academy provides comprehensive, classroom-style training in the essentials of managing a compliance...more

Davis Wright Tremaine LLP

All-In on AI: Bipartisan Senate AI Policy Roadmap Identifies Areas of Consensus

On March 15, 2024, the Bipartisan Senate Artificial Intelligence Working Group (the "AI Working Group")—led by Senate Majority Leader Chuck Schumer (D-N.Y.) and Sens. Mike Rounds (R-S.D.), Martin Heinrich (D-N.M.), and Todd...more

Akin Gump Strauss Hauer & Feld LLP

Senate AI Working Group Releases Long-Anticipated Roadmap for AI Policy

On May 15, 2024, the Senate AI Working Group—Senate Majority Leader Chuck Schumer (D-NY) and Sens. Mike Rounds (R-SD), Todd Young (R-IN), and Martin Heinrich (D-NM)—issued their long-anticipated Roadmap for Artificial...more

Rumberger | Kirk

Understanding How Generative AI Can Affect Your Business' Data Privacy And Ownership Is Crucial

Rumberger | Kirk on

“In assessing a generative AI product, it is critical to understand issues of data ownership and privacy. This cumbersome task is necessary to learn how the AI platform will use data, if the data shared is entering an open or...more

Health Care Compliance Association (HCCA)

[Event] Basic Healthcare Compliance Academy - July 15th - 18th, Charlotte, NC

Designed for professionals with some compliance knowledge and experience, HCCA’s Healthcare Basic Compliance Academy is ideal for practitioners who are ready to support, enhance, and oversee a comprehensive compliance program...more

Integreon

Thomson Reuters: Achieving Compliance With Your Law Enforcement and Third-party Subpoena Response Process

Integreon on

This article originally appeared on Thomson Reuters Westlaw Today on February 12, 2024. View the original article here. Robert Daniel and Mark Grant of Integreon, Inc. explore areas legal operations professionals should...more

Society of Corporate Compliance and Ethics...

[Event] Basic Compliance & Ethics Academy - July 22nd - 25th, Singapore, Singapore

Ideal for practitioners who have some compliance knowledge and are ready for a deeper dive, SCCE’s Basic Compliance & Ethics Academy provides comprehensive, classroom-style training in the essentials of managing a compliance...more

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