Having an effective compliance program is not only a legal obligation for businesses, but it is also considered a corporate responsibility and it is absolutely essential for risk mitigation. Join this ...

Will Kenton is an expert on the economy and investing laws and regulations. He previously held senior editorial roles at Investopedia and Kapitall Wire and holds a MA in Economics from The New School ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

A trusted and efficient employee reporting mechanism (also referred to as an ethics, compliance, reporting, or whistleblower hotline or helpline) is a core component of an effective corporate ...

In the world of investment company compliance, one can have all of the essential elements of a great compliance program, but without the intangible ingredient of a highly-experienced and attentive ...

Legacy financial regulations assume the existence of intermediaries and asset classes well-defined in legal code. The emergence and growth of digital assets has forced regulators, the traditional ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

BOSTON — New voluntary guidance for nursing home compliance is already being used to chart audit and investigation activity, a pair of compliance experts said here Monday. The Health and Human ...