Navigating Canadian Employment Compliance Regulations

Understanding Canadian regulations is crucial for maintaining compliance and ensuring that your company and its employees understand the boundaries and adhere to the proper conflict of interest regulations.

The Weak Link in Surveillance: Validating Models for Effective Detection

This FCA Market Watch is a wake-up call for firms! Firms must build and validate their surveillance models to ensure they function in the correct manner to surface the desired risk.

Everything You Need To Know About Employees & Political Donations 

As July 4th approaches, so does the intensifying presidential campaign season. It's impossible to escape the flood of fundraising efforts on every device you own. Campaign fundraising in America has reached a fever pitch.

Renewed Protections for Whistleblowers Change the Game

Does your company reward whistleblowers? Changing legislation reinforces the importance of whistleblower protections.

Voting Leave Notices Are Essential For Upholding Employee Rights

U.S. employers are required to post voting leave notices in their workplace or make them available to remote employees. Find notices for CA, NY, and DC.

SEC Charges Investment Bank and Former ECM Syndicate Banker with “Bought Deal” Fraud

In 2024, the SEC charges Investment Bank for violations preventing the misuse of material, nonpublic information. Find out what happened and how you can prevent it.

The Challenges of an Election Year: Monitoring Political Contributions in 2024

Navigating the intricacies of political contributions in the 2024 election cycle poses a challenge for compliance teams trying to mitigate risks.

Going Public in 2024? Don’t Forget Your SOX Whistleblowing Obligation

In the US, all companies planning an initial public offering (IPO) and those with securities outstanding must comply with the whistleblowing requirements of the…

A Patchwork of Regulations: Navigating the Complexities of Political Contributions

As the US election year heats up, addressing political contributions has come to the forefront of many compliance teams’ minds.