Compliance

We know that compliance doesn’t necessarily equal security and that training employees is vital to preventing cyber attacks. But a poorly trained worker is the same as one not trained at all, and in too many tech companies, training isn’t exactly exciting or inspiring. As Stu Sjouwerman explores, there are simple-but-effective methods to get everyone on board for security compliance...

Most public companies will be required to disclose details about executive compensation starting with next year’s proxy statements, under rules the SEC formally adopted in August. Haynes Boone partner Rosebud Nau and associate Alexandria Pencsak sort through the information that will soon be required. In August, the SEC adopted Release No. 34-95607 implementing pay versus performance disclosures called for under...

Data privacy laws in the EU and UK established the right of individuals to find out what personal information organizations hold about them, but organizations aren’t always timely in answering subject access requests. Cordery’s Jonathan Armstrong and André Bywater discuss recent UK actions and explore methods for ensuring companies remain compliant with consumer data requests. The EU and UK GDPR...

As 2022’s midterm Congressional elections approach rapidly, political groups from inside and outside the state are mobilizing in Georgia, targeting a hotly contested U.S. Senate election. Andrew D. Herman and Bria Stephens of Lawrence & Bundy explain why recently revised campaign compliance rules should give political actors in the state pause. Two years ago, Georgia made political history, as Joe...

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....