#compliance

Here's a pet peeve. Why isn't company policy being enforced? Company policy explicitly says that 2 people must be in the store at all times. Why is this policy not being enforced? And why are DL's conveniently looking the other way on this? Strictly following this policy would help a lot, because then corporate would see how bad things really are when they see the amount of stores that would open late and close early every day.

The CEO and his imps are now using draconian methods to ensure compliance to the new order. They are tracking attendance to stupid things like claude presenations. If you don't attend you may find yourself on the next "restructuring" list

Reference: https://www.ftc.gov/system/files/ftc_gov/pdf/Publicis-StipulatedOrder.pdf

This may be of interest to Publicis employees, job seekers, advertisers, and investors.

On April 15, 2026, the FTC and the Attorneys General of Florida, Indiana, Iowa, Montana, Nebraska, Texas, Utah, and West Virginia filed an antitrust complaint against Publicis, Inc., alleging violations of Section 5 of the FTC Act and Section 1 of the Sherman Act.

Rather than litigate, Publicis entered into a stipulated permanent injunction on the same day. The company did not admit wrongdoing, but agreed to extensive compliance obligations, including:

A 10-year federal court order
An FTC-approved independent monitor for 5 years
Annual compliance reports for 5 years
FTC access to records, personnel, and compliance documentation
Restrictions on coordinating with competitors or third parties regarding advertiser spending based on political, ideological, journalism-rating, or DEI-related criteria
Prohibition on using or encouraging exclusion/inclusion lists based on those criteria, except where expressly directed by individual clients

There were no fines or damages in this settlement. Instead, the focus is on long-term oversight and changes to business practices.

From a legal perspective, this is a significant civil antitrust settlement. While it avoids an admission of liability and allows Publicis to continue operating normally, a decade-long injunction and five years of independent monitoring are substantial remedies that typically increase compliance costs, legal oversight, and regulatory scrutiny.

For employees, job seekers, and investors, it's worth understanding that this is not a criminal case, nor does it mean Publicis was found liable after trial. However, it is a notable regulatory action that will likely influence the company's governance and compliance processes for years to come.

I just found this. There are proposed rules in the making via the FCC but the comment period has ended.
https://www.ictbroadcast.com/fcc-offshore-call-center-rules-2026/

This was mentioned obliquely in other posts, but I wanted to get it into the title of this post. The NJ WARN Act requires that certain employers (including Verizon) provide 90 days' notice of layoffs. If you are a New Jersey employee laid off on June 16 and were told your last day is in August, they are in violation of the law and they have to give you until September 14 which is 90 days from June 16th.

Questions: How many were affected? What metric was used to decide who? Will there be any more groups hit this week or month?

Some posts get deleted for obvious reasons, come less so. Are the Terms of Service (TOS) available to read?

The 2LOD has gone mad! Dare you ask them to explain their risk concern or interpret guidance in a consistent and unbiased manner. Instead they manipulate the narrative to inflate their egos. They will be the demise of the bank as they are a hinderence to the business obtaining business. They make unreasonable decisions for risk they dont understand or own. Best of luck under their leadership.

https://violationtracker.goodjobsfirst.org/?company=Centene&order=pen_year&sort=

The New York Legislature passed a bill called the "No Severance Ultimatums Act." This bill imposes new requirements on employers offering severance agreements to employees. Employers must provide 21 calendar days for consideration and a 7-day revocation period. The Act expands federal protections, like those in OWBPA, to all New York employees regardless of age. If signed into law, non-compliant severance agreements would be void and unenforceable immediately.

https://www.jdsupra.com/legalnews/new-york-s-no-severance-ultimatums-act-1086745/

Long Term Boca Retiree here. The Florida Office of Insurance Regulation released it market conduct investigations report in April 26. Truspire is going out with a literal bang !

Florida cited and fined both Mutual of America & Truspire over a collective $60,000 in fines for violating Florida law & insurance statues. These were over some BS LTC filing. But, MoA & Truspire received more fines (5) then any other insurance company. Not sure who in the legal area w/the states dropped the ball but this is very embarrasing. For more details go to:

FLOIR.gov

and read for yourselves.

Someone was asleep at the switch. time to dock his pay or ship his role to India.

My friend is a director in compliance and works with facilities CHQ & coming in 2027 hearing we’ll be implementing badge in badge out to ensure people are in the office. Also being said Q4 they’re advised to review reports of people who are not in 4 days a week. They were originally pursuing the idea of tying in office personnel, bonuses to days in office, but couldn’t make it equitable for the work from home employees..

https://www.beckerspayer.com/legal/elevance-pays-cms-342m-amid-medicare-

Elevance Health paid CMS $342 million following a Medicare Advantage sanction notice alleging the insurer did not properly address overpayments for years.

June 22 filings in a New York federal court included an email from an Elevance vice president to CMS, confirming the payment was a “remittance of the total overpayment amount” related to the Risk Adjustment Overpayment Reporting module. Elevance conducted the wire transfer May 27, and CMS confirmed receipt the next day.

On May 29, a separate CMS letter informed Elevance that it had received the company’s attestation, but it did not specify the payment amount at the time. That step, along with initial submissions to the appropriate electronic systems, temporarily staved off intermediate sanctions. However, CMS said the insurer has until the end of June and July to complete further tasks — such as resolving issues across other risk-adjustment modules and addressing additional overpayment issues — before sanctions kick in.

The most recent filings also included a June 22 letter from the U.S. attorney’s office to the judge, challenging Elevance’s desire for additional discovery regarding the sanction notice.

“To the extent Anthem [now Elevance] wishes to challenge CMS’ administrative action, this is not the appropriate forum to do so,” the letter said.

CMS told Elevance in February that it would impose sanctions affecting MA prescription dr-g plan enrollment and communications due to a lack of compliance with risk-adjustment data submission requirements, interfering with the return of overpayments.

Elevance CFO Mark Kaye previously said the company had set aside $935 million to address the dispute. As of February, Elevance had about 2 million MA members.

This case is not the only source of tension between Elevance and the federal government right now. A Justice Department lawsuit first filed in 2020 alleges False Claims Act violations.

“Elevance Health continues to engage in constructive dialogue with the Centers for Medicare & Medicaid Services,” an Elevance spokesperson told Becker’s June 26. “We remain optimistic that a resolution can be reached and value our longstanding relationship with CMS.”

CMS said, if any sanctions take effect, current MA beneficiaries will continue to access their coverage and benefits as usual, since the sanctions would only apply to new enrollments and communications.

“CMS is committed to ensuring accurate Medicare Advantage (MA) payments, compliance with federal requirements and the protection of taxpayer dollars. Accurate and timely submission of MA risk adjustment data is essential to ensure Medicare pays appropriately for the beneficiaries they serve,” CMS told Becker’s in a June 29 statement.

Typical Citi, their FAQ to fired employees says you still have to receive trade preclearance while on Garden leave. But when you call compliance they have no idea how to preclear you because you're no longer in the system and HR just sends an auto reply that they'll get back to you at their convenience .....

So, if I sell stocks am I going to lose my Severance because Citi is too incompetent to put proper procedures in place to pre-clear those in let go?

I'm so glad I was let go. It's like I was in a bad relationship but needed to be broken up with. I just can't wait to be done with this place.

Just got hit with two emails about two CU trainings that are "required to be completed" by October 27: Annual Ethics and Compliance Training and, naturally, Annual Security & AI Risk.

Read the room, Sarah. Read the room.

Our L3 shared the 2 part guidance he was given in May for making a surplus recommendation. This was delivered to us as tough-love-don't-be-this-guy kind of advice.

1. Out of compliance on anything.
   or
2. Weakest link on a team for 2 consecutive Qtrs.

You will volunteer through your actions. I will no longer choose who leaves.

If plans have contracts with states, how will this affect those? They can't pull out of a state until the contract ends, can they? What happens when staff leave or are let go & the company can't fulfill the contract requirements? Can states sue? Would Centene do that?

Based on what I have read, Fiserv appears to be making significant staffing cuts, similar to those recently seen at FIS. Many of the employees affected held roles that are essential to keeping the global banking system stable and secure, including cybersecurity professionals who help prevent intrusions, developers and testers who review code and ensure systems function properly, and compliance personnel who help ensure regulatory requirements are met.

When these teams are reduced or stretched too thin, the risk of gaps in oversight, system reliability, and operational resilience increases. It raises serious questions about whether organizations like FIS would have the staffing, expertise, and capacity needed to respond quickly and effectively in the event of a major disruption, such as a natural disaster affecting a data center.

Overall, these developments have me concerned about the resilience of the banking infrastructure we all depend on. I would welcome greater scrutiny from auditors or regulators, because the combination of deep staffing cuts, rising operational complexity, and critical financial infrastructure could create vulnerabilities that may not become visible until a serious failure occurs.

https://www.reuters.com/legal/legalindustry/ex-att-lawyer-who-raised-compliance-concerns-accused-ethics-violations-2026-06-23/

Im assuming there are a lot of knowledgeable individuals here who may be able to clarify this.
Can someone explain whether banks are legally required to comply with search warrants issued by a local police department in cases involving fraudulent wire transfers?
I recently had a fraudulent wire transfer claim with Bank of America that was denied. At the same time, I filed a police report with my local police department. In an effort to investigate and identify the suspect, the detective has issued multiple search warrants to the bank.
However, the bank has not responded to these warrants.
My question is: are banks required to comply with search warrants issued by local law enforcement, and if so, what typically happens when they do not respond or delay compliance?
Any insight would be appreciated.

Just had asset protection visit our office and do a presentation on how reports and investigations are handled!
I have been here 27 years and I have never seen these guys show up somewhere in person and usually you didn't even know they were here!!
Very suspicious they would even have a meeting with our group, has anyone else had this happen to them?
they even had a Q and A session after on their procedures.

https://www.businessinsider.com/microsoft-was-in-talks-to-lease-oracle-compute-capacity-2026-6?op=1

Microsoft was recently in talks with Oracle about leasing the company's cloud infrastructure, but the deal fell through due to security and compliance concerns, according to people familiar with the matter.

One of the people said that the deal could have been worth more than $3 billion.

The failed talks highlight a growing reality of the AI bo-m: even the world's largest technology companies are running short on computing power. As demand for AI services soars, cloud providers like Microsoft are increasingly competing not just for customers but for the infrastructure and capacity needed to run their own products.

That scramble is driving an unusual wave of partnerships, capacity-sharing agreements, and multibillion-dollar infrastructure deals as companies race to secure enough computing resources to support the next generation of AI.

Microsoft recently projected that its capital expenditures for the 2026 calendar year will reach $190 billion, largely to expand data center capacity. The company has already turned to Amazon to add capacity for its GitHub code development business to address recent outages.

Microsoft is seeking a deal or deals with other cloud providers to prioritize its own Azure cloud computing resources on customers, the people said. "We are shopping for capacity everywhere," one of the people said.

The plan was to move some Microsoft workloads to Oracle Cloud Infrastructure, but Oracle's public cloud did not have the Federal Risk and Authorization Management Program (FedRAMP), a standardized security framework that ensures cloud services are secure enough to handle U.S. government data. Oracle was not willing to add this framework, one of the people said.

The ExxonMobil Operations Integrity Management System (OIMS) is a comprehensive framework designed to manage safety, security, health, and environmental risks across the organization, ensuring operational excellence and continuous improvement.

Purpose and Importance
The OIMS framework establishes common expectations for managing the inherent risks associated with ExxonMobil's operations. It emphasizes the importance of Operations Integrity (OI), which encompasses all aspects of the business that can impact personnel safety, process safety, security, health, and environmental performance. The system is integral to ExxonMobil's commitment to conducting business responsibly and sustainably, ensuring that safety and environmental considerations are prioritized in all operations.

Key Components of OIMS
11 Elements of OIMS: The framework consists of 11 key elements that guide the implementation of effective management systems. These elements include:

(1) Management Leadership, Commitment, and Accountability
(2) Risk Assessment and Management
(3) Facilities Design and Construction
(4) Information/Documentation
(5) Personnel and Training
(6) Operations and Maintenance
(7) Management of Change
(8) Third-Party Services
(9) Incident Investigation and Analysis
(10) Community Awareness and Emergency Preparedness
(11) Operations Integrity Assessment and Improvement

Continuous Improvement: OIMS is designed to be a dynamic framework that is periodically updated to reflect new insights and best practices. This includes strengthening expectations related to leadership, environmental performance, and behavior-based safety

Commitment to Safety: ExxonMobil promotes a culture where all employees and contractors are responsible for managing risks and ensuring safety. The framework encourages personal accountability and proactive intervention to prevent incidents, aligning with the company's vision of a workplace where "Nobody Gets Hurt"

Implementation and Evaluation
The application of the OIMS framework is mandatory across all ExxonMobil operations, with a focus on design, construction, and operational phases. Management is responsible for ensuring that systems are in place and effective, with ongoing evaluations to assess compliance with the framework's expectations. This includes internal and external assessments to gauge the effectiveness of the OIMS implementation .

In summary, ExxonMobil's OIMS is a critical component of its operational strategy, aimed at enhancing safety, environmental stewardship, and overall operational integrity through structured management practices and continuous improvement efforts.

The U.S. Justice Department has reportedly sent subpoenas to several of the country’s largest banks, including JPMorgan Chase JPM and Bank of America BAC, over allegations of politically motivated account closures.

Other banks under investigation include Wells Fargo WFC.

Some of the subpoenas were issued to the banks last year by the U.S. Attorney’s Office in Washington, D.C., led by Jeanine Pirro. The probe is focused on claims that these banks have “debanked” clients, meaning they have inappropriately closed customer accounts due to political reasons, the Wall Street Journal reported on Wednesday.

https://www.msn.com/en-us/money/news/jpmorgan-bofa-wells-fargo-subpoenaed-by-doj-in-trumps-explosive-debanking-crackdown-report/ar-AA25nPc6

T&Cs for me but not for thee?

https://dailyjournal.com/article/392055-judge-certifies-class-action-accusing-ricoh-of-systematic-printer-service-overbilling

At what point do state Attorney Generals and the federal investigators step in? This wasn't just a normal data breach, they got patient info AND provider account information. It is probably much worse than this press release even admits.

https://portal.ct.gov/dss/press-room/press-releases/connecticut-department-of-social-services-and-gainwell-technologies-notice-of-data-security-incident?language=en_US

https://dallasexpress.com/national/h-1b-fraud-claims-back-in-spotlight-after-fox-segment-on-fake-degrees/

Nearly 7 million visas processed since 2015

➡️ 70% from India

➡️ 12% from China

🔹 A former official told Newsweek 80-90% of applications from India involved fraudulent documents or unqualified applicants

🔹 A network of universities selling fake degrees is now under investigation with one university allegedly selling 36,000+ fake degrees

Any rumors? Hearing Compliance will be impacted.

Waters hasn't been posting salary ranges for US-based roles in MA and California. Pay transparency, y'all! State fines are definitely incoming. HR is messed up. Live your legend!

I wonder if Dell will have its ethics and compliance training this year?

Coming from an unethical and corrupt group of people would be pretty ridiculous.

CDF Labor Law will host an online webinar on June 18, 2026. It offers practical advice for handling workforce reductions. The program aims to minimize legal risks and compliance traps. Attorneys Todd Wulffson and Alessandra Whipple will present the session. This event targets employers, HR professionals, and in-house counsel.

https://www.cdflaborlaw.com/events/cdf-webinar-less-layoff-litigation-pro-tips-for-conducting-reductions-in-force-in-california

There have been reports of some H-1B employees at CVS, particularly those approaching visa renewal periods, being encouraged to relocate to Canada after the company decided not to continue visa sponsorship or pursue employment-based green card processing. In certain situations, these contractors reportedly continue working remotely for CVS from Canada shortly after relocating.

This raises important questions regarding cross-border employment arrangements, immigration compliance, and tax obligations in both the United States and Canada. Remote work from Canada for a U.S.-based employer may require appropriate authorization and adherence to Canadian immigration and labor regulations.

Concerns have also been raised about whether all necessary Canadian work authorization and compliance processes are being consistently reviewed or monitored for individuals in these arrangements. Given the potential legal and regulatory implications, this is an area that may warrant greater transparency and oversight.

#H1B #Immigration #WorkVisa #RemoteWork #CanadaJobs #USImmigration #CrossBorderEmployment #VisaSponsorship #EmploymentLaw #GlobalWorkforce #ImmigrationCompliance #TaxCompliance #WorkAuthorization #CorporateCompliance #LaborLaw #GreenCard #TechWorkers #HealthcareIndustry #CVS #InternationalWorkers #SaveAmericanJobs

when you optimize for one thing, you usually suboptimize something else.

so now we spend energy on trivial stuff like badging, attendance, and proving people are physically present, while less time goes into the actual work. the work is still there. it just gets buried under another layer of compliance theater.

wells fargo has always had a problem with truth and trust. in good times, people work around it. in tough times, it gets harder to hide.

that’s when the cracks show.

The most recent mandatory course on fincrimes included an example of bad things happening when firms operate outside the law - the GS Malaysian corruption scandal that cost GS $600 million to settle. Anyone wanna guess the initials of one of the GS execs implicated. (Google it)

How is this allowed when STS is so behind on tech compared to others in industry? When others cant do anything that will get approved by compliance

https://www.streetinsider.com/dr/news.php?id=26170519&gfv=1

https://www.stocktitan.net/sec-filings/FTDR/form-4-frontdoor-inc-insider-trading-activity-f2fdb9b25268.html

Overnight decision to move then out of the sla-ghter house currently known as Tech moves under Nish. Do we really need a chief privacy officer in that model and do we need over twenty people in a second line role where all of their functions were first line centric ? If we think of efficiencies and what matters for members this is pretty easy. This groups previous leadership fought tooth and nail when anyone dared to mention they belong in second line. (Judy and her leadership team) time to clean house I guess this is a no brainer. Any bets on what happens to a 25 person first line team moving into second line ?

Anybody notice an increase in compliance related terminations. I have seen both announcements on bulletin boards about disciplinary action. The company is taken against people for various things recently as well as hearing about individuals who have been terminated. Do we think this is an increase?