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Workplace Communication Enforcement Actions

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for August 2024

More Flack on WhatsApp, Hypothetical Performance SmackDown, A Timely Warning on the Pay-to-Play Rule, and Updates to Qualifying Venture Capital Fund Exemption - This month's big news from the SEC was more piggy-bank breaking...more

K&L Gates LLP

The SEC Fines Stand-Alone Adviser for Off-Channel Communications

K&L Gates LLP on

Overview - On 3 April 2024, the US Securities and Exchange Commission (the SEC) announced the first settlement with a stand-alone registered investment adviser for, among other things, failures to maintain and preserve...more

NAVEX

3 Ways to Boost Compliance During COVID-19

NAVEX on

Companies have been moving at breakneck speed to respond to the COVID-19 pandemic. As a compliance professional, you’ve been there: from work-from-home and planning to go back to work, to layoffs and furloughs, to sales...more

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

Earned Sick Leave in Westchester County, NY: What Employers Need to Know

Taking a page out of New York City’s book to address the estimated 36 percent of workers in Westchester County, New York, who lack paid sick leave benefits, in October 2018 the Westchester County Board of Legislators passed...more

The Volkov Law Group

Hiding Behind the Privilege – A Cloak or a Dagger?

The Volkov Law Group on

CCOs face many challenges in their jobs. One area that is difficult but usually can be solved with common sense is where to draw the line on attorney-client privilege issues. As a practicing attorney, I can attest to the...more

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