Workplace investigations are a common necessity for many reasons—from harassment to conduct-related issues. Knowing how to conduct a thorough fact-finding exercise is key for reducing the liability you face. In this post, we will explore the best practices and steps for conducting workplace investigations.
During the holidays it is customary to give and receive gifts, enjoy company and client-hosted parties, and attend holiday events. Titan Regulation & Advisory, a Waystone Group Company, encourages all investment advisers to be mindful of their gift and entertainment policies and procedures during the holidays.
The SEC’s Director of Examinations recently reiterated the critical role that Chief Compliance Officers (“CCO”) play for both investment advisers and investment companies. The SEC’s language together with previous SEC guidance focused on outsourced CCOs implies that the SEC prefers in-house CCOs.