Rethinking Records Retention
2024 Payments Year in Review: CFPB and FTC Regulatory Trends – Part Four — Payments Pros – The Payments Law Podcast
DE Talk | If It’s Not in Writing, It Never Happened: Applicant Tracking & Recordkeeping Strategies to Ensure OFCCP Compliance
California Regulation of Charitable Fundraising Platforms Part 2 - Reporting Due Diligence, Recordkeeping, and Disclosure Rules
Episode 312 -- Eddie Green, CEO SnippetSentry, on Communications Preservation Risks
Episode 298 -- Electronics Communications Risks and Ephemeral Messaging
A Look Into the FDA and USDA Regulatory Regimes
Nonprofit Basics: Meeting Minutes Best Practices
The Risk Roundtable: Best Practices for Litigation to Help After an Accident
PLI's inSecurities Podcast - Compliance and Enforcement Considerations for Private Funds & RIAs
California Employment News: Best Practices for Maintaining Employee Records
OSHA Recordkeeping Regulations: Understanding the Fine Print
FLSA and Wage and Hour Issues for Restaurants
#WorkforceWednesday: OSHA Updates COVID-19 Guidance, NLRB GC’s Priorities, Biometrics at Work - Employment Law This Week®
[Webinar] Common Massachusetts Cannabis Business Compliance Pitfalls
Risk Prevention Strategies: Avoiding Costly FLSA Missteps
How to Navigate the After Effects of the U.S. Stimulus Packages
Regulation Best Interest Videocast Series: Regulation BI Recordkeeping Requirements
Podcast: Private Fund Regulatory Update – Network and Cloud Storage
The United States Environmental Protection Agency (“EPA”) and Gold Medal Service (“GMS”) entered into an April 7th Consent Agreement and Final Order (“CAFO”) addressing an alleged violation of the Clean Air Act regulations 40...more
During her keynote address at the Futures Industry Association’s International Futures Industry Conference, BOCA50, CFTC Acting Chairman Caroline D. Pham announced a new effort to encourage market participants to resolve open...more
The SEC's wave of enforcement actions concerning "off-channel" communications did not abate in 2024. In total, the SEC announced more than 70 firms agreed to pay more than a half-billion dollars combined to settle charges for...more
The U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Exchanges were active across a host of regulatory issues impacting fintech companies and broker-dealers during...more
The U.S. Securities and Exchange Commission (SEC) brought more actions targeting regulated entities for recordkeeping violations related to employees using noncompany communications platforms, and both the SEC and the U.S....more
On August 14, 2024 the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against 26 SEC-registered investment advisers, broker-dealers and dually-registered broker-dealers and investment advisers...more
The Securities and Exchange Commission (SEC) announced charges against 26 broker-dealers, investment advisers, and dually-registered firms for widespread and longstanding failures to maintain and preserve electronic...more
On February 9, 2024, the Securities and Exchange Commission (SEC) announced charges against five broker-dealers, seven dually registered broker-dealers and investment advisers, and four affiliated investment advisers for...more
The Arkansas Department of Energy & Environment – Division of Environmental Quality (“DEQ”) and Drew Foam Companies, Inc. (“Drew”) entered into an October 16th Consent Administrative Order (“CAO”) addressing an alleged...more
The Arkansas Department of Energy & Environment – Division of Environmental Quality (“DEQ”) and The Bryce Company, LLC (“Bryce”) entered into an October 3rd Consent Administrative Order (“CAO”) addressing alleged violations...more
The SEC and CFTC recently charged 11 large financial institutions and their affiliates for failing to collect, monitor, and preserve communications over WhatsApp and other messaging services. These settlements follow a...more
Last week, the United States Securities and Exchange Commission (SEC) fined 16 Wall Street firms a total of $1.1 billion for recordkeeping violations based on the failure to maintain employees’ electronic communications, such...more
On September 27, the Commodity Futures Trading Commission (“CFTC”) issued orders to settle charges against 11 major U.S. and international financial institutions and their swap dealer (“SD”) and futures commission merchant...more
On September 23, 2020, the U.S. Securities and Exchange Commission (“SEC”) entered an Order Instituting Administrative and Cease and Desist Proceedings (“Order”) against a broker-dealer, JonesTrading Institutional Services,...more
The Tennessee Department of Environment and Conservation (“TDEC”) issued a proposed Order and Assessment (“Order”) to Warren County, Tennessee (“Warren County”), for alleged violation of certain provisions of the Tennessee...more
The United States Environmental Protection Agency (“EPA”) entered into a September 12th Expedited Settlement Agreement (“ESA”) with a Salina, Kansas, underground storage tank (“UST”) owner addressing an alleged violation of...more
The Mississippi Commission on Environmental Quality (“MCEQ”) and Blue Mountain Production Company (“Blue Mountain”) entered into a September 26th Agreed Order (“AO”) addressing alleged violations of a Title V Operating Permit...more
The United States Environmental Protection Agency (“EPA”) and Kroger Limited Partnership II d/b/a Winchester Farms Dairy (“Winchester”) entered into an August 14th Expedited Settlement Agreement (“ESA”) addressing alleged...more
ANTICORRUPTION DEVELOPMENTS - Petrobras Settles with U.S. Authorities Over Alleged FCPA Violations - On September 27, 2018, the U.S. Department of Justice (DOJ) and the Securities and Exchange Commission (SEC)...more
The United States Environmental Protection Agency (“EPA”) and S & H Food Mart, LLC (“S & H”) entered into a July 5th Expedited Settlement Agreement and Final Order (“ESA”) addressing alleged violations of the Subtitle...more
The Alabama Department of Environmental Management (“ADEM”) and Constellium Muscle Shoals, LLC (“CMS”) entered into a March 16th Consent Order (“CO”) addressing violations of an air permit. The CO describes CMS as a...more
The Arkansas Department of Environmental Quality (“ADEQ”) and Firestone Building Products Company, LLC (“Firestone”) entered into a March 16th Consent Administrative Order (“CAO”) addressing alleged violations of an air...more
The Technical Secretary of the Tennessee Air Pollution Control Board (“Board”) issued a February 24th Technical Secretary’s Order and Assessment of Civil Penalty (“Order”) addressing an alleged violation by BlockWorks, LLC...more
February 16 was the deadline to introduce new bills in the California Legislature. By that date, nearly 2,200 bills were introduced. While that may seem like a staggering amount of legislative proposals (especially for a...more
On February 27, 2017, FinCEN announced a $7 million civil monetary penalty against Merchants for willful violations of the BSA. Additionally, the Office of the Comptroller of the Currency (OCC), Merchants’ federal functional...more