Compliance


  • A man on a rooftop looks at approaching flames.
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    5 takeaways on costs, challenges of climate disclosure compliance

    Complacency regarding the SEC’s now-stayed rules could leave companies “scrambling to try to get ready” once they are put in place, PwC’s Marc Siegel said.

    By Maura Webber Sadovi • July 15, 2024
  • Outside shot of Citigroup HQ with a sign with the Citi logo in the shot
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    Citi to pay $135.6M in new penalties over 2020 orders

    The bank has made insufficient progress toward resolving nagging data quality, risk management and internal control issues, the OCC and Federal Reserve said.

    By Dan Ennis • July 11, 2024
  • The letters AI on a digital block
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    AI policy, compliance leave lawyers more skeptical than executives: survey

    North America has so far adopted an “innovation-friendly” approach to AI regulations compared to countries in Europe and Asia, a report finds.

    By July 10, 2024
  • data security, Kiteworks
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    funtap via Getty Images
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    Risk escalates as communication channels proliferate

    The chance of losing data to a breach rises in tandem with the number of channels — like email and file sharing — that an organization uses.

    By July 9, 2024
  • Boeing 737 Max aircraft are shown during production in Renton, Washington.
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    (Photo by Stephen Brashear/Getty Images) via Getty Images
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    Boeing would become a felon under DOJ plea deal

    The aerospace and defense giant would plead guilty to one criminal count, pay a $244 million fine and operate under an oversight monitor for three years.

    By July 8, 2024
  • A workplace poster published by the U.S. Equal Employment Opportunity Commission is displayed featuring the EEOC logo.
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    Kate Tornone/Legal Dive
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    Disability nonprofit will pay over $1M for allegedly failing to accommodate deaf workers

    The EEOC’s recently updated guidance on the ADA and hearing disabilities addresses some of the accommodation issues raised in the case.

    By Laurel Kalser • July 8, 2024
  • SCOTUS business regulatory rulings, Loper, Corner Post. Jarkesy
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    Regulatory uncertainty ahead as SCOTUS rulings give companies incentive to sue government

    The rulings also mean regulators won’t be able to tilt toward the president’s political sentiments as much as in the past, legal experts say. 

    By July 3, 2024
  • workers toil on a hot construction site with the orange sun in the background
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    OSHA proposes rule to protect workers from extreme heat

    The standard would require employers to provide water and rest breaks when high heat creates a hazardous work environment.

    By Zachary Phillips • July 2, 2024
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    Al Drago via Getty Images
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    Supreme Court significantly expands time to sue government agencies

    In yet another setback for federal agencies, the justices ruled that plaintiffs have six years to sue an agency from the time of their claimed injury.

    By David Weisenfeld • July 1, 2024
  • In a black and white photo, Lyndon B. Johnson sits in the foreground signing the Civil Rights Act, surrounded by Martin Luther King Jr. and dozens of politicians.
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    Stoughton, Cecil. (1964). Retrieved from Wikipedia Commons.
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    Deep Dive

    Title VII’s future will be shaped by AI, recent SCOTUS rulings, attorneys say

    The law’s anti-discrimination provisions remain a topic of complex debate, and sources who spoke to HR Dive expect the conversation to carry on well into the next several years.

    By Ryan Golden • July 1, 2024
  • SEC v. Jarkesy
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    Kevin Dietsch / Staff via Getty Images
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    Supreme Court defangs key SEC enforcement power

    This 6-3 ruling strikes down the Securities and Exchange Commission’s in-house system for deciding civil fraud penalties.

    By David Weisenfeld • June 27, 2024
  • Mandatory Dodd-Frank clawbacks after a company financial restatement
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    Using deferred compensation to meet Dodd-Frank clawback obligations

    The process could be a quick and easy way to handle executive repayments, but there are IRS rules to navigate, legal specialists say.

    By June 26, 2024
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    SEC’s $2.1M fine on RR Donnelly over hack response slammed as overreach

    The agency’s assertion that a cybersecurity failure can be punished as an “internal accounting controls” violation is raising eyebrows.

    By Alexei Alexis • June 25, 2024
  • EU issues a preliminary finding that Apple violates the Digital Market Act
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    Scott Olson via Getty Images
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    EU competition charge against Apple is a preliminary finding

    The company has until March to respond to the regulator’s claim that it’s not allowing developers to communicate directly to their customers within their apps.

    By June 24, 2024
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    Permission granted by Deere and Co.
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    Deere to pay $1.1M over racial discrimination allegations

    The company was cited for allegedly discriminating against 277 Black and Hispanic job applicants at facilities in Illinois and Iowa.

    By Kate Magill • June 20, 2024
  • A stock photo shows two construction workers having a difficult conversation.
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    EEOC releases anti-harassment guide for contractors

    The federal agency wants to empower the industry to make the jobsite safer for all workers, Vice Chair Jocelyn Samuels told Construction Dive.

    By Julie Strupp • June 18, 2024
  • Trafigura fined by CFTC for market manipulation and bad NDAs
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    sankai via Getty Images
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    Oil trading giant hit with $55M fine for market manipulation

    Trafigura engaged in insider trading to influence prices and misused NDAs to keep employees from coming forward, the Commodity Futures Trading Commission says.

    By June 18, 2024
  • John Ring, former chairman of the National Labor Relations Board, gives testimony during a Congressional committee hearing.
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    Screenshot: House Committee on Education and the Workforce/YouTube

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    Former NLRB chair Ring says agency is ‘rewriting’ federal labor law

    The remarks come at a pivotal moment in U.S. labor law after several successful union drives nationwide and with NLRB’s Chair Lauren McFerran up for renomination.

    By Ryan Golden • June 13, 2024
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    Justin Sullivan via Getty Images
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    Uber loses gig worker court decision

    The battle over whether gig workers are independent contractors continues. A separate court case will decide the legality of a Lyft- and Uber-backed ballot measure in California that would define them as such.

    By Dan Zukowski • June 11, 2024
  • Colorado AI bias law requires risk management
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    Colorado AI law puts risk management front and center

    Companies that follow accountability and disclosure practices benefit from a rebuttable presumption that they exercised reasonable care and an affirmative defense against prosecution.

    By May 21, 2024
  • Fines are a small burden for large companies like Amazon
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    Big fines aren’t burdensome for many companies, analysis finds

    In a number of cases, headline-grabbing fines only require a few days’ worth of earnings to pay.

    By May 13, 2024
  • DOJ M&A safe harbor
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    Opinion

    What to know about the DOJ’s M&A safe harbor policy

    Extending due diligence beyond traditional document review and implementing strong post-closing integration are among the ways to identify potential violations before they cause problems.

    By William S. Barrett and Melody M. Block • May 2, 2024
  • off-channel communications compliance
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    oatawa via Getty Images
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    Big fines might get employees to end off-channel communications

    Companies must get a handle on unsupported networks even if they’re not technically illegal outside of some federal rules, enforcement specialists say. 

    By May 2, 2024
  • noncompete agreement ban
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    FTC approves nationwide noncompete ban

    In a difference from the proposed rule, senior executives subject to a noncompete agreement today will remain subject to it; the ban will apply to executives going forward.

    By April 22, 2024
  • AI washing, compliance, litigation
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    Opinion

    Compliance isn’t the only ‘AI washing’ risk

    Like regulators, private plaintiffs are going after companies whose artificial intelligence promises don’t match what their technology actually does. 

    By David Shargel • April 8, 2024