Compliance

When assessing your ethics and compliance program, it seems only natural to look at each individual plank on its own, but as compliance expert and attorney Michael Volkov explains, this approach could fail to surface issues with program elements that don’t work in concert with one another. We often hear about the “essential” elements of effective ethics and compliance programs....

FCPA opinion releases can form part of your compliance program guidance arsenal, but there have only been two of them in the past seven years, so if you are relatively new to ethics and compliance, you may not be so familiar with them. In this month’s column, Mary Shirley covers some of the basics about FCPA opinion releases, offering takeaways...

Increasing regulatory oversight, renewed geopolitical tensions and the ongoing Covid-19 pandemic have conspired to create unprecedented levels of regulatory change over the past few years. A new Gartner report identifies four primary options available to legal and compliance leaders to cope with changes and reveals why (spoiler alert) some combination of all four might be necessary. “The blistering pace of...

Despite 20 years of SOX, many companies still fail to prioritize compliance programs until it’s too late. Maria D’Avanzo of Traliant makes the case that the law should be amended to address compliance programs specifically and the government should do more to motivate companies to support CCOs so they can help prevent misconduct before it happens. During my tenure as...

The SEC’s marketing rule came into effect May 4, 2021. Since then, registered investment advisers (RIAs) have had an 18-month transition period — until Nov. 4, 2022 — to fully adhere to its updated regulations. MirrorWeb’s Harriet Christie explores the rule and what steps RIA compliance teams must take by the deadline. The appeal behind the modernization of the existing...

The “move fast and break things” mentality that serves tech entrepreneurs well when they’re getting their companies off the ground can down the road run them into a very big brick wall: compliance. While some aspects of the tech sector remain something of an untamed frontier, there’s no doubt that at least when it comes to ESG, tech leaders need...

In March, the Payment Card Industry Security Standards Council published Payment Card Industry Data Security Standard (PCI DSS) Version 4.0 to address emerging threats and market changes. PCI DSS v4.0 is set to go into full effect in March 2025, replacing PCI DSS Version 3.2.1. Learn how this will impact your business. Like its predecessor, PCI DSS v4.0 is centered...

Cheering for your favorite team (or against the one you hate), makes it easy to forget that NFL players are employees. If they violate team or league rules and regulations, they can be fined or even suspended. But suspensions do more than just create chaos in your fantasy football season; they speak to the effectiveness of the NFL’s compliance program....

An effort that began in 2010 under the Obama Administration — establishing web accessibility regulations for state and local governments under Title II of the ADA — has been renewed by the Biden DOJ. Kristina Launey and John W. Egan, partners at Seyfarth Shaw, dig into the history of this long-desired effort and what questions the regulations should address. The...

Companies large and small are expected to deepen their focus on diversity, equity and inclusion (DEI) programs over the next several years. But as Janet M. Stovall and Evynn McFalls of NeuroLeadership Institute explain, going beyond lip service means committing to constant improvement efforts. Several months after a splashy public announcement about advancing diversity, equity and inclusion, a company promoted...

Though a blow for climate activists, the Supreme Court’s ruling in West Virginia vs. EPA is unlikely to have the landscape-shifting impact on manufacturing companies that some have predicted. Assent’s Jared Connors explores why the SEC’s proposed rules and other factors matter more. The U.S. Supreme Court’s June ruling on West Virginia v. Environmental Protection Agency (EPA) significantly restricts the...

Eye-popping fines over violations of the right of access portion of the federal HIPAA healthcare law aren’t exactly common, and a recent slate of fines and settlements show that most healthcare providers can avoid six-figure penalties by simply trying to do the right thing. The Department of Health and Human Services Office for Civil Rights (OCR) announced 11 enforcement actions...