Regulations

NexPoint Securities Settles FINRA Charges of Net Capital Deficiencies

Read why FINRA charged NexPoint Securities for repeated net capital deficiencies, leading to censure, a fine, and mandated supervisory improvements.

Updated Manual Introduces New FDIC Examination Schedule

The Federal Deposit Insurance Corporation (FDIC) has revised its Consumer Compliance Examination Manual, extending the FDIC examination schedule and introducing mid-point risk reviews.

OIG Clarifies Safe Harbor Compliance in Anti-Kickback Violations Advisory

A recent OIG opinion clarifies how strict adherence to safe harbor rules can shield companies from anti-kickback violations tied to physician ownership.

Staying Ethical and Maintaining Conflict-of-Interest Compliance in the Season of Giving

Learn how to maintain conflict-of-interest compliance this holiday season with guidance on transparency, gift value, and ethical decision-making.

DOJ Settlement Underscores Cybersecurity Risks for Government Contractors

Read how a new DOJ settlement highlights rising scrutiny on cybersecurity compliance among government contractors and the costly risks of noncompliance.

Navigating the New China Tariff Orders: Compliance and Risk Implications

Two new Executive Orders reshape the China tariff structure, and compliance teams must reassess import controls, supplier terms, and trade risk exposure.

E-Verify Compliance as a Growing False Claims Act Risk for Contractors

Discover why DOJ actions show E-Verify compliance is now a frontline False Claims Act (FCA) risk and contractors need disciplined responses to avoid exposure.

EU’s Apply AI Strategy Aims to Secure Technological Independence

Delve into how the EU’s new Apply AI Strategy marks a decisive shift toward digital sovereignty, open-source innovation, and reduced reliance on foreign tech.

Appeals Court Backs Media Matters in FTC Subpoena Fight

Learn why a federal appeals court sided with Media Matters in its clash with the FTC over a disputed subpoena tied to alleged media coordination.

Ohio Supreme Court Narrows Deference to Industrial Commission in Berry Decision

Discover what the Ohio Supreme Court’s Berry ruling means for Industrial Commission deference and how employers may face new exposure under state safety rules.