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Form 8-K GREYSTONE LOGISTICS, For: Jul 29

Form 8-K GREYSTONE LOGISTICS, For: Jul 29
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Form 8-K GXO Logistics, Inc. For: May 24

Form 8-K GXO Logistics, Inc. For: May 24
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Updated FAQ On Corporate Integrity Agreements Details Obligations For Reportable Event Disclosures - Food, Drugs, Healthcare, Life Sciences

On December 14, 2021, the Office of Inspector General (OIG) posted an update to the Corporate Integrity Agreements FAQ on whether an entity that is subject to a Corporate Integrity Agreement (CIA) ....

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HHS-OIG Updates Its Self-Disclosure Protocol | Faegre Drinker Biddle & Reath LLP

HHS-OIG Updates Its Self-Disclosure Protocol | Faegre Drinker Biddle & Reath LLP
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SEC Division of Examinations Large Traders' Risk Alert

Thursday, January 14, 2021
On December 16, 2020, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE,” since reorganized as a separate division of the SEC, i.e., the Division of Examinations [“DivEx”]) issued a Risk Alert entitled “Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations.” My December 8, 2020, blog post, “Meeting Specified Standards: the SEC’s OCIE Assesses Compliance,” emphasizes the importance of compliance by regulated industry participants and notes DivEx reports from examinations of a number of recurring deficiencies.
In its December 16 Risk Alert, DivEx reports on similar inspections of broker-dealers and investment advisers and finds, if anything, even more frequent compliance issues concerning “Large Traders” as defined, with respect to recordkeeping, monitoring, and reporting relevant information using the Ele ....

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