While you may understand the state and federal labor laws, your employees may not. You may need to conduct compliance training for your employees so they understand the consequences of violating labor laws. Here’s what you could do: 1. Harassment and discrimination...
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Investigations & Regulatory Compliance
Conduct that can lead to tax fraud allegations
Just like anyone else, businesses are subjected to taxes. Businesses may have to pay federal, state and city taxes. No one enjoys paying taxes. It can be confusing and people often don’t know if they’re doing it right. Taxes for businesses can be a lot more...
What does the SEC consider adequate disclosure?
One reason the Securities And Corporate (SEC) Investigations might investigate you is if they feel you did not adequately disclose information to investors. Potential investors can only make informed decisions if they have the material necessary to inform themselves....
3 tips for an effective third-party compliance program
In today’s globalized world, third-party compliance is a crucial aspect of business operations. You do not want to expose your business to regulatory and reputational risks due to the conduct of external vendors, contractors and suppliers. Therefore, it is advisable...
3 reasons why you need an employee handbook for your business
You have established your company. You have the necessary paperwork together and are looking forward to bringing in your first batch of employees. Your business is ready to go and you can’t wait to open your door to clients. Nonetheless, it’s important to first ensure...
An effective anti-harassment policy could protect your business
As an employer, it helps to have a solid and effective anti-harassment policy at the workplace. Your employees should feel safe and assured that their work environment is free of any form of harassment or discrimination. A policy that does not fully address harassment...
How do ethics and compliance work together?
Anyone who opens a business needs to ensure they understand the applicable regulations that apply to their industry. This is one of the only ways the owners can ensure compliance. From there, they need to hire individuals who understand the industry and can keep...
What is integrity monitoring?
The U.S. regulatory landscape evolves constantly. As a result, it is critically important for larger companies to take a proactive approach to compliance. Without a strong, proactive approach in place, seemingly innocuous gaps in compliance can become significant...
4 causes of regulatory violations
Businesses need to follow state, federal and international laws in their operations. NYC guidelines provide entrepreneurs of different business types with adequate information on how to run their businesses efficiently in compliance with regulations. Nonetheless, some...
What makes a good workplace code of conduct policy?
At the very basic, ethical behavior is knowing the difference between right and wrong. However, the line between right and wrong can be quite blurry in the workplace. To take the guesswork out of the equation, organizations invest a great deal of time and resources in...