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Regulatory Oversight Employee Training Compliance

Compliance and Ethics: Ideas & Answers

The Code Behind the Culture: Peer Benchmarking on Codes and Policy Management

An organization’s code of conduct often serves as the foundation upon which other elements of the compliance program—such as employee training and communications—are built. More than just a tool for establishing baseline...more

Fox Rothschild LLP

New Title IX Regs on Hold in Some States: How Colleges and Universities Can Still Prepare for August 1 Effective Date

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Federal court injunctions, upheld by two appellate courts, mean the new regulations will take effect only in a patchwork of states. But with an effective date looming, all universities must be prepared to implement a series...more

Sheppard Mullin Richter & Hampton LLP

Privacy and Cybersecurity Training: Addressing Regulatory Concerns

As we pass the half-way mark of 2022, many are reflecting on their privacy compliance progress. One area that seems to be a constant battle is training. How much is needed? What kind of training? What are expectations from...more

Hogan Lovells

[Webinar] Controlling your risk and regulatory obligations with a hybrid workforce – is that even possible? - May 12th, 11:00 am -...

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Hybrid working maybe the new norm in 2022 but the FCA is keeping a watchful eye on how firms continue to meet their regulatory responsibilities and effectively control the risks. With the regulator reviewing a firm's remote...more

Foley & Lardner LLP

Lessons Learned From OCIE’s Inspections of Investment Adviser Compliance Programs

Foley & Lardner LLP on

The Office of Compliance Inspections and Examinations (OCIE) issued a risk alert on November 19, 2020 related to the Advisers Act compliance rule, Rule 206(4)-7. Some key takeaways for Chief Compliance Officers (CCOs) are as...more

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