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ethics & professional responsibility Archives

You've got your security clearance: There are no more issues, right?

Although most jobs and career opportunities across California do not require applicants to obtain security clearances, legions do. It is routinely the case that many people working in the military, federal and state agencies, contracting firms and other entities must clear hurdles to secure the valuable right to work conferred through clearance.

CA health care provider fights back against CDSS license revocation

We noted in our immediately preceding blog post the vast sweep of regulatory powers wielded by the California Department of Social Services. As we stressed in our February 26 entry, the CDSS "is not to be trifled with."

CA Dept. of Social Services: How far do its powers extend?

California businesses spanning virtually every type understand well the overlay of regulations on their industries generally and on them in individualized fashion. Legislators in Sacramento and working across the state are a collectively busy bunch, which yields material implications for commercial entities tasked with regulatory compliance.

CA Medical Board increasingly aggressive in meting out discipline

Is there any reason for licensed California medical professionals to be concerned with the aggressive stance taken by the state's Medical Board in targeting individuals for disciplinary actions?

Wells Fargo case underscores need for strong license defense

Positive public relations hasn't exactly been a strong suit for California-based Wells Fargo the past couple years. Indeed, the bank has been under a withering spotlight for both allegations and proven charges focused on various types of consumer fraud.

Timing for brokers' fiduciary rule enforcement materially adjusted

The fiduciary standard applicable to investment advisers/brokers in California and nationally was a hot-button item in 2016. Implementing new rules to expand oversight duties and liabilities for financial professionals was a core objective of the Obama presidency during its final year.

Finra is zeroed in on alleged "rogue brokers" in securities realm

If you're a registered securities adviser/broker, you know what Finra is. In fact, you are likely regulated in all material aspects by that national not-for-profit entity, which sets policies and writes rules for most of the country's licensed financial professionals.

Licensing issues at the fore in UCLA pharmacy matter

UCLA has closed its so-called "compounding" pharmacy following a state probe of its internal records and practices relative to specialty drugs made and delivered for patients' use at multiple university medical outlets.

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