by Wiggin and Dana LLP | Sep 15, 2019
At the SEC’s recent compliance outreach program, a high-level SEC official announced that the National Examination Program (“NEP”) will be reviewing investment advisers’ policies and procedures for preventing cyber attacks. In particular, the...
by Wiggin and Dana LLP | Sep 15, 2019
On Tuesday January 28, the staff of the SEC’s Office of Compliance Inspections and Examinations (“OCIE” or “staff”) issued a Risk Alert on the due diligence practices employed by investment advisers and financial planners before...
by Wiggin and Dana LLP | Sep 15, 2019
In virtually every state, the Attorney General can bring lawsuits for violations of state consumer protection or antitrust law. Often the Attorney General can seek both penalties and injunctive relief for itself and restitution for its citizens harmed by the...
by Wiggin and Dana LLP | Sep 15, 2019
H-1B Visa Cap Season is just around the corner, and Wiggin and Dana would like to remind employers to plan ahead when considering recruitment of foreign workers. This is because one of the most commonly used visa categories for U.S. employers to employ foreign...
by Wiggin and Dana LLP | Sep 15, 2019
The National Labor Relations Board (“NLRB”) is taking aim at workplace policies that are commonly used by non-union employers and invalidating them because, in the view of the current NLRB, these policies could reasonably be construed to limit employee...
