Tag Archives: Highlights

OCIE head highlights key compliance considerations, potential internal controls enhancements

By Amy Leisinger, J.D. In recent remarks, the SEC’s Office of Compliance Inspections and Examinations Director Peter Driscoll urged chief compliance officers and firms on the whole to remain vigilant in their efforts to protect investors. According to the director, … Continue reading

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SEC OCIE Highlights Potential Deficiencies in Firm Privacy Policies

On April 16, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert highlighting Regulation S-P compliance deficiencies and issues it found in recent examinations of broker-dealers and investment advisers. Regulation S-P is the primary SEC rule … Continue reading

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Fatal Garbage Truck Accident in Georgia Highlights Dangers of Bulky Trucks

Garbage and recycling trucks are some of the most dangerous vehicles on the roads of Georgia. These are very heavy vehicles with blind spots. Although they seldom travel at high speeds, they can be deadly on residential streets. Police are … Continue reading

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25th Annual Healthcare Ethics Conference Highlights Healthcare Ethics in an Era of Change

The Healthcare Ethics Consortium and the Emory Center for Ethics will host the 25th annual Healthcare Ethics conference on March 21 and 22 at the Emory Conference Center.  The Healthcare Ethics Consortium is a network housed at the Emory Ethics … Continue reading

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