Whether you have started your journey or you are an experienced risk and compliance practitioner, this checklist is designed to help you mitigate compliance risk. It has been developed in conjunction with Simon Levy, CEO of RMIA and Martin Tolar, CEO...

Earnings releases are press releases, accompanied by a Form 8-K and an earnings call/webcast, used by companies to inform investors of company performance ahead of a quarterly or annual report. Use this checklist to ensure that all applicable rules are...

Use this state law survey to learn how each state addresses protecting personally identifiable information (PII) that can be accessed from government records. This document provides an overview of each state’s laws regarding general protections...

The requirements of the securities laws apply to Foreign Private Issuers (FPIs) in different ways than they apply to domestic issuers. Use this guide for an overview of the market, securities laws and regulations, the securities offering process, disclosure...

Only misrepresentations or omissions of material facts are actionable in securities fraud cases. Use this practice note to examine this critical concept in an Exchange Act Section 10(b) fraud claim. READ NOW » Related Content Reliance in...

In June, the U.S. Supreme Court adopted a narrow view of what constitutes identity theft under 18 U.S.C. § 1028A in the context of health care fraud, rejecting a two-year sentence enhancement for a man who used a patient's name on a fraudulent...

The 2022 Form 1040 asks: ”At any time during 2022, did you: (a) receive (as a reward, award, or payment for property or services); or (b) sell, exchange, gift, or otherwise dispose of a digital asset (or a financial interest in a digital asset)...

The Copyright Claims Board (CCB) is a new forum established by the Copyright Office to handle copyright disputes valued up to $30,000, which began accepting claims in June 2022. Practical Guidance has you covered on the ins-and-outs of litigating a claim...

With domestic violence cases rising, employers can play an important role in helping its employees navigate such difficult issues. Are you prepared to draft a policy that sets forth victims' rights to leave time or a reasonable accommodation under...

This whitepaper acts as a roadmap, designed to help organizations find a clear path to AML-CFT compliance in 2023 and beyond. It dissects the key issues and priorities both locally and across the world to help compliance and risk professionals find greater...