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Regulations, Compliance, & Enforcement
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When Misconduct Reaches the C-Suite, Who Investigates? • Recent Legal Developments Offer Encouragement for Employers Supporting DEI • Customs Crackdown: Preparing for Heightened Enforcement • DOJ Releases FOCUS Questionnaire to Assist in Evaluating Qui Tams Filed by Data Miners • From Rulebook to Reality: Living with the Proposed DFARS FOCI Rule
SEC’s Closing Message To Broker-Dealers and Investment Advisors: A Mea Culpa Could Save You Millions In Recordkeeping Fines
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