Court Upholds SEC's 'Pay to Play' Rule
The SEC’s 2010 “pay to play” rule , which places limitations on investment advisers whose political contributions could lead to government work, has survived an attempt by Republican groups to brand the requirements as unconstitutional. A recent court decision set aside First Amendment issues and focused on how the ...
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In a heated campaign season, don’t forget about compliance
Joe Mont takes a look at the campaign trail and the tendency for companies to get political at their own peril, as avoiding regulatory and reputational risk requires policies and audits to ensure compliance with a panoply of federal and state laws.
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News BriefCommunication and relationships is increasingly critical for compliance teams
Compliance is increasingly in the spotlight as companies are tackling everything from artificial intelligence and other new technologies to risk management and mitigation. But it’s soft skills of communication and relationship building that are becoming the most critical tools for success.
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PremiumUnder intense reg scrutiny, compliance teams report implementing off-channel comms policies
Three of four respondents to Compliance Week’s Inside the Mind of the CCO survey said their employers have policies and procedures in place that govern employee use of unauthorized communications on their cell phones. The survey, conducted in November and December, found that another 11 percent of the 179 practitioners ...