Ideal Compliance Procedures

by S Z | Sep 15, 2019

I. Sources of Authority — Legal Bases for Policies & Procedures Pursuant to Section 203(e) of the Investment Advisers Act of 1940, the SEC may sanction anyone who ” has failed reasonably to supervise, with a view to preventing violations of the...

SEC Enforcement Actions; The Past as Prologue, or, What Every Compliance Officer Needs to Know Now

by Wiggin and Dana LLP | Sep 15, 2019

Every compliance officer is charged with a single, but at times, daunting task: to keep his or her firm out of trouble. Millions of dollars are spent each year by securities firms to achieve this goal in the form of staff salaries, training and testing. Millions more...

Insurance News

by S Z | Sep 15, 2019

Spring 2011 In this Issue Wiggin and Dana expands Philadelphia officeCT Privacy Forum – September 15, 2011Lead Article – Insurance Coverage for the Computer AgeFrom the CourtsFrom the Regulators Wiggin and Dana Expands Philadelphia Office and Adds...

BioInsights, September 2011 – Issue 12: Patent Reform Act Will Affect the Life Science Industry

by Wiggin and Dana LLP | Sep 15, 2019

Special Patent Reform Edition Last week, the US Senate passed the Leahy-Smith America Invents Act (H.R. 1249), legislation that marks the biggest change to U.S. patent law since at least 1952. The measure now heads to the White House for President Obama’s...

OFCCP Compliance Audit Update

by Wiggin and Dana LLP | Sep 15, 2019

We are writing to alert government contractor clients about a recent change in the OFCCP audit process. In the past, the OFCCP has requested contractors to provide an extensive amount of information during an audit to support the numbers in the contractor’s...