Succession Planning: Expert Strategies and Tips From Succession — Hiring to Firing Podcast
Top Employment Law Considerations for Startups, with Ashley K Pittman
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Blakes Continuity Podcast: Distressed M&A Forecast: A Mix of Sun and Clouds
Balado Continuité – Loin des yeux, près de l’action : règles d’or du télétravail
Day 17 of One Month to More Effective Continuous Improvement-Financial Health Monitoring
Don’t miss this complimentary webinar spotlighting the five most pressing regulatory developments reshaping compliance in Canada’s financial sector. From board-level liability, to shifting enforcement priorities, get up to...more
When disruption strikes—be it a cyberattack, supply chain failure, or extreme weather—your systems and team’s ability to respond with speed, clarity, and confidence are tested....more
On August 13, 2021, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 21-29, collecting guidance on outsourcing and vendor management. The Notice was prompted by increased reliance on outsourcing...more
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
On May 28, 2020, FINRA issued its Regulatory Notice 20-16 sharing firms’ WFH practices observed to date. They include common practices adopted across most industries, as one would expect....more
COVID-19 is changing the nature of corruption and fraud. The risks they bring are mutating, and the pandemic is drastically altering the way such risks are detected and mitigated. ...more
The coronavirus (COVID-19) outbreak is causing widespread public concern and economic impacts for individuals and businesses across the globe. Most mortgage lenders and servicers already have business continuity plans in...more
In just a short period of time, the COVID-19 pandemic has triggered a revolution in how we live our lives and do our jobs. These changes have extended to the regulation of the financial industry. While FINRA emphasizes that...more
On March 9, 2020, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 20-08 (Notice) with respect to business continuity planning in connection with the recent coronavirus (COVID-19) outbreak. ...more
At the end of January, the U.S. Securities and Exchange’s Office of Compliance Inspections and Examinations (OCIE) released its “Observations on Cybersecurity and Resiliency Practices” (Observations)....more
New Rules, Proposed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European...more