Compliance Tip of the Day: Rethinking Corporate AI Governance Through Design Intelligence
Compliance Tip of the Day: COSO Governance Framework: Part 4, Culture
Compliance Tip of the Day: COSO Governance Framework: Part 1, Introduction
Compliance Tip of the Day: Internal Control Deficiencies
FCPA Compliance Report: Stay the Course: Ellen Lafferty on Navigating Anti-Corruption Compliance in 2025
Adventures in Compliance: The Novels – The Hound of the Baskervilles, Introduction and Compliance Lessons Learned
Compliance Tip of the Day: Assessing Internal Controls
Key Discovery Points: BYOD Case Law Covering Subpoenas and Employee Handbooks
Compliance Tip of the Day: COSO Objective 5 – Monitoring Activities
Compliance Tip of the Day: COSO Objective 4 - Control Information and Communication
Hospice Insights Podcast - Election Inspection: Be Proactive to Avoid Costly Election Statement Denials
Compliance Tip of the Day: COSO Objective 3 – Control Activities
Compliance Tip of the Day – COSO Objective 1 – Control Environment
Compliance Tip of the Day: Code of Conduct as an Internal Control
Rethinking Records Retention
Compliance Tip of the Day: Internal Controls for GTE
FCPA Compliance Report: Revolutionizing Speak Up: Ariel D. Weindling on Enhancing Whistleblower Systems
Compliance Tip of the Day: Implementing Internal Controls
Podcast: Addressing Patient Complaints About Privacy Violations
Compliance Amidst a Global Consensus Breakdown
Information leaks pose a growing and multifaceted risk to organizations across sectors. While often associated with cybersecurity breaches, the majority of such incidents stem from human error or intentional misconduct. On 25...more
To build a robust ethical culture, ethics and compliance professionals need effective culture assessments to pinpoint vulnerabilities and proactively address them. The U.S. Department of Justice’s (DOJ) update to the...more
Complaints are a crucial component of any business’s integrity. But all too often complaints are overlooked because of the very nature of them. The rise of grievances being aired across social media platforms has desensitized...more
Crisis planning is not everyone’s idea of a good time, but an ounce of prevention is worth it when you are faced with a crisis. Here are 10 things to think about as you prepare for a possible crisis: Where is your...more
SEC’s Division of Examinations (“EXAMS”) issued a risk alert on its Initial Observations Regarding Advisers Act Marketing Rule Compliance (the “Risk Alert”), giving compliance officers an unexpected gift by sharing examples...more
FINRA, as part of its targeted exam of member firms’ social media practices for gaining new customers, recently announced an $850,000 fine against M1 Finance LLC (“M1 Finance”) stemming from promotional social media posts...more
In the current age of social media, employers have begun to increasingly rely on digital platforms to screen prospective employees. In an effort to address the growing concerns over privacy and the use of social media in...more
Everyone on social media at some point has to figure out how they’re going to use it. Will their account be public? Will they post information about family? Current events? Religion? Politics? If the account’s not open to...more
The U.S. Supreme Court has established guidelines for determining when a public official’s use of a private social media platform such as Facebook, X or Nextdoor constitutes public speech that cannot be censored. State and...more
Who may be interested: Investment Advisers; Registered Investment Companies; Boards of Directors - Quick Take: The SEC recently settled charges with an investment adviser relating to the adviser’s alleged failure to...more
In new draft guidance, the U.S. Equal Employment Opportunity Commission proposes to recognize broad protections for LGBTQ+ employees in the workplace and allow bias claims premised on abortion-related decisions. It also...more
Thank you for reading the September 2023 issue of Sterne Kessler's MarkIt to Market® newsletter. This month, we discuss the significant revisions to the FTC's guidelines for endorsements and examine the benefits of design...more
Over the last several years, the Securities and Exchange Commission (the “SEC”) and the Commodities Futures Trading Commission (“CFTC”) have been laser-focused on the use of so called “off-channel communications” in the...more
Michael Ostheimer, a senior staff attorney for the Federal Trade Commission (FTC), joined Holland & Knight for a recent webinar presentation on social media advertising and marketing practices. This Holland & Knight alert...more
The care and protection of children at any public, private, religious, or secular organization or institution that supports children or vulnerable adults should be, one of, if not their highest priority. Accordingly, these...more
Without a clear social media policy, a business runs the risk of harming its brand and running afoul of regulatory guidelines which limit corporate speech or require certain disclosures. Employees and officers of the company...more
Those running promotions such as sweepstakes or contests on social media may seek to engage influencers, or individuals with significant social media followings, to enhance their promotions’ visibility and boost engagement...more
No employer wants to make decisions based on an employee's social media activity. Everyone tells employees to keep their private life private and don't let it affect the job — right? Originally published by Law360 -...more
Can a social media firestorm be the basis for an employment decision? Although it may seem like a lifetime ago, in the spring of 2020, the internet’s attention turned to a viral video of a white woman in Central Park who...more
In this final article, we want to leave you with a review of the major takeaways. First, check your liability insurance as soon as you receive a complaint against your license, and report the claim to your insurance...more
In This Issue. The U.S. Securities and Exchange Commission (SEC) published a sample comment letter on climate change disclosures; the Financial Industry Regulatory Authority (FINRA) is conducting a review of brokerage firm...more
At long last, the SEC has finally published its Revised Investment Adviser Marketing Rule. effective as of May 4, 2021. Investment advisers will have 18 months following the effective date, or until November 4, 2022, to come...more
Employers and human resource professionals find themselves increasingly dealing with workplace strife caused by political and societal differences. When society is polarized on politics, so too are employees. Many...more
In today’s world, hospitals have to be prepared for anything and everything, and not just medical emergencies. They have to be prepared to handle all types of workplace violence, from active shooters to abuse from...more
Holland & Knight hosted Michael Ostheimer, a senior attorney for the Federal Trade Commission (FTC), for a webinar presentation on Oct. 17, 2019. Mr. Ostheimer has been with the FTC for nearly three decades, currently serving...more