5 Steps to Avoid Employee Misconduct Employee conduct is a priority in many industries, especially in regulated businesses. Making sure... READ MORE
10 Reasons Compliance Programs are Failing Attorney Andrew Hayward and award-winning writer Tony Osborn have authored a new book, “The... READ MORE
New Bill Seeks Clarity on Insider Trading Law On May 7, 2019, U.S. Representative James Himes (D-Conn) introduced the “Insider Trading... READ MORE
Telefonica Brasil Case Underscores G&E Risks Telefônica Brasil recently agreed to pay the U.S. Securities & Exchange Commission (SEC) more than... READ MORE
Three Steps to an Effective COI Compliance Program Chances are your organization has developed a conflict of interest (COI) policy. But does it have... READ MORE
Leveraging RegTech to Eliminate Conduct Risk Blind Spots "Without the ability to centrally manage conduct risk data, even leading firms that pride... READ MORE
