wall street

SEC Enforcement and Compliance Priorities: A Renewed Focus on Enforcement and Accountability

The swearing in of Mary Jo White as the new Chair of the SEC ushered in a period of increased vigor in enforcement, along with tougher prosecutorial tactics. And the SEC has already delivered. To spare their organizations from these hard-nosed enforcement actions, it's incumbent upon compliance practitioners to establish and maintain strong controls, policies and programs.

labor law

Labor & Employment: New Cases, Important Rulings

A number of recent rulings from the Supreme Court ought to be dominating compliance practitioners' attention. Here, we have highlights of some of the more significant decisions, on matters ranging from whether staff should be paid for donning and doffing protective gear and when interns must be compensated to employer liability in instances of workplace bullying.

oops button

3 Accidental Whistleblowers (Fired for Doing their Jobs Well)

Whistleblowers can and should be integral forces within our compliance programs, but often they’re dismissed, branded traitors and blacklisted instead. Those who set out to blow the whistle often know they’ll be up against some serious opposition. But what about accidental whistleblowers? They’re just as subject to reprisal.

justice is blind

Three Keys to an Effective Disciplinary Program

The Justice Department and the SEC have underscored the importance of a company maintaining a clear disciplinary process so that executives, managers and employees are aware that a violation of the corporate code of conduct or the law will result in disciplinary action.