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.
Investors choosing to ‘do good’ through ESG investing assume (and trust) that the fund has done its due diligence on the companies represented. However, investors are becoming more aware of companies that ‘look good’ but are not practicing advocates for what ESG stands for.
COVID-19 and social turbulence have dominated the past few years, and likely the world will never be the same. Adaptive working and the implications for women and other underrepresented groups haven’t been positive before or during the pandemic.
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 in-house general counsel, more often than not at young fast-growing companies, is unaware of the company’s insurance policy requirements (e.g.: timely notice, consent to counsel and rates), let alone what is even covered under the insurance policies.
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.