by Wiggin and Dana LLP | Sep 15, 2019
QUESTION: What were the most significant trends in SEC enforcement cases in 2002, and what areas should Advisers be most concerned about in 2003? ANSWER: The SEC instituted a record number of cases against investment advisers in 2002. In all, 48 new cases were filed,...
by Wiggin and Dana LLP | Sep 15, 2019
Every adviser will be examined at some point by the SEC’s examination staff. That is a given. Sometimes the inspection will be preceded by a letter or telephone call from an SEC staff member notifying the adviser of the date for the scheduled inspection. Other...
by Wiggin and Dana LLP | Sep 15, 2019
As previously reported [September 2011 Client Alert], last month the National Labor Relations Board (“NLRB”) issued a Final Rule requiring that private sector employers subject to the NLRB’s jurisdiction post a notice informing employees of their...
by Wiggin and Dana LLP | Sep 15, 2019
Last month, the United States Department of Health and Human Services' Office for Civil Rights (OCR) announced that its contractor, KPMG, will be conducting 150 HIPAA compliance audits from November 2011 to December 2012. OCR is required to conduct HIPAA audits...
