eDiscovery and Compliance Programs
ERGs: Valuable or Vulnerable?
Managing Whistlelbowers
Data Driven Compliance: The Failure to Prevent Fraud Offense: Insights for US General Counsels with Mike DeBernardis
Compliance Tip of the Day: Using AI to Embed Your Compliance Program
Compliance Tip of the Day: Trust and Verify
Great Woman in Compliance: Building Strategic and Effective Risk Assessments
Compliance into the Weeds: The Dark Side of AI in Employee Training
Compliance Tip of the Day: AI Assistant for Compliance
Innovation in Compliance: Gaurav Kapoor on Risk Management and the Role of AI in GRC
How to Balance Diverse Views in the Office
Compliance Tip of the Day: Costs and Benefits of AI
Adventure in Compliance: The Novels - The Valley of Fear, Whistleblowers and Corporate Compliance
Sunday Book Review: August 17, 2025, The More Books from the Ethicsverse Library Edition
Compliance Tip of the Day: How a CFO Views Compliance and Risk
Data Driven Compliance – James Tillen on the Importance of Cross-Functional Collaboration in Complying with the FTPF Offense
We get Privacy for work — Episode 7: What Is a WISP and Why Your Organization Must Have One
Great Women in Compliance: The Mind at Work with Lynette Buebird
Compliance Tip of the Day: Finance Models for Compliance
Compliance Tip of the Day - Extending Compliance Value Across Your Organization
As with so many other areas, communication, or a lack of it, can be a big problem when it comes to eDiscovery. Legal doesn’t always adequately communicate what it needs. The business unit doesn’t share information about all...more
On October 2, 2024, the U.S. Food and Drug Administration (FDA) released guidance in a question and answer format regarding the use of electronic systems, electronic records, and electronic signatures in clinical...more
Illinois continues to change the landscape for employers, allowing employees more leeway when it comes to the Illinois Human Rights Act (IHRA) and Illinois Personnel Records Review Act (IPRRA). Recent Amendments to the...more
It has been a particularly busy year on the labor and employment law front. To learn more about the major challenges employers face and developments your organization needs to address before year's end, we encourage you to...more
Document retention is one of those persistent issues that comes with a great deal of complexity. As Michael Kearney, Head Solution Architect, Redgrave Data explains in this podcast, organizations have to deal with a dizzying...more
Federal regulators have cracked down on the use of texts messages and messaging platforms for business communications, using their broad authority to root out record retention violations, resulting in significant fines and...more
Perhaps you’ve asked an employee to take notes during a Zoom meeting, but they complained the task is difficult to manage while collaborating with teammates. Maybe you intended to document everything that transpired during an...more
Providers oftentimes ask how long they need to retain certain types of medical information. While there are some general rules regarding the timeframes for retaining medical information, the specific answer varies depending...more
The Commodity Futures Trading Commission (CFTC) issued orders on September 27, 2022, filing and settling charges against various affiliates of financial institutions for failing to maintain, preserve, or produce records that...more
Competent management of business information is a challenge for organizations across industries, but banking and financial services organizations face heightened information governance challenges that require dedicated...more
An investment management company was recently hit with $200 million in fines for failing to track employees’ use of personal messaging apps, which resulted in the loss of communications that were subject to regulatory...more
When you need information, where do you go? For the majority of people today, the answer involves a smartphone and social media. From Facebook and LinkedIn to Instagram, Twitter, and even YouTube, social media is...more
The Financial Industry Regulatory Authority's (FINRA) constantly updated record of disciplinary actions contains a mixed bag of run-of-the-mill infractions, unethical behavior, and large-scale corporate misconduct and...more
Law firms are in the information business. Information is a critical operational asset for firms, and is effectively the primary product. With the dramatic explosion of the volume of information and the risks inherent in...more
There are many competing business and legal considerations that can shape corporate record retention policies. Federal and state governments have enacted statutes, and agencies have issued myriad regulations that require...more
While your organization may not regularly be involved in costly or complicated litigation, there are instances in which it may nonetheless be required to identify, collect, and produce documents most likely in the form of...more
On August 25, 2015, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) released proposed rules that would require investment advisers that are registered or required to be registered (RIAs)...more
We don't think about personnel files – we just have them. Everything from employment applications to benefits enrollment forms to discipline and discharge documents goes into those files. But did you know that the EEOC...more