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2 Feb 2018, 8:57 am by Cynthia Marcotte Stamer
Furthermore, the Privacy Rule includes extensive documentation and keeping requirements require that covered entities and BAs maintain copies of these BAAs for a minimum of six years and to provide that documentation to OCR upon demand. [read post]
10 Oct 2022, 5:11 am by John Jascob
Comment period closed on May 9, 2022.Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews (Release No. [read post]
11 Nov 2021, 2:07 pm by Kevin LaCroix
  And to the extent companies might incorporate ESG disclosures into public offering documents, any alleged ESG-related misstatements in that context could lead to issuer securities actions under Section 11 of the Securities Act of 1933. [read post]
31 May 2016, 5:38 am by Adam Weinstein
  Selling away misconduct often occurs where brokerage firms either fail to put in place a reasonable supervisory system or fail to actually implement that system. [read post]
17 Apr 2024, 2:21 pm by Emily Vaisa
Monitoring Employee Activity: Employers may consider implementing monitoring systems to track employee activity, particularly in roles with access to sensitive information. [read post]
31 Mar 2010, 9:33 pm by rohdec12
SECURITIES AND EXCHANGE COMMISSION, filed March 26, 2010. [read post]
21 Jul 2016, 5:21 am by John Jascob
Even before the write-down, several plaintiffs had filed securities fraud class action lawsuits against Crocs. [read post]