#compliance

Has anyone noticed the abundance of emailed attestations from the company notifying us that we must act like Peter Priesthood at all times, else suffer the consequences? In other words, we actually have to sign that we’re gonna behave like good little boys, girls and other identities…

Any for non compliance?

https://www.ftc.gov/news-events/news/press-releases/2025/09/dun-bradstreet-agrees-pay-57-million-resolve-alleged-violations-ftc-order

Maybe keepin a lot of same mgmt in place (who were responsible for overseeing these practices) wasn’t the best idea?

Why can’t they get it right?

We are in massive non-compliance by getting engineering services from non-registered engineers from not only out of province, but out of the country.

Report this while you can.

A related / unrelated question. Have a Medicare PDP plan, heard on the street Elevance is getting out of that space. Did a chat on Sydney and was told 1. Yes they are leaving 2. Should have seen in 2026 ANOC. 3. They can’t tell when, how or if an ANOC was sent to me, even though I know they should be able and it is a compliance. Issue. Anyway I’ll see if they actually send it, glad my DR gave me a heads up. What’s up with Carelon anyway? Have they been reducing staff?

I’ve seen some locations go all-in and others where people are basically ignoring it and getting away with it (for now). Lots of grey areas. Any hot-takes? Anybody know of anyone who’s been fired for not complying?

Worker Adjustment and Retraining Notification Act of 1988

There's nothing noted on the WARN Act tracker about Stifel layoffs. www(dot)warntracker(dot)com.

Does anyone know how they got around this?

Has everyone seen this? Georgia and Gainwell announced a data breach this week, that supposedly happened in July. This has got to be someone in India getting access and login information, doesn't it? I don't believe the information about the phone call.

Here's the link to the announcement, and another press release inside the link.

https://dch.georgia.gov/announcement/2025-10-01/medicaid-members-offered-free-credit-monitoring-after-possible-data-breach

Now that (hopefully) the emotions have started to settle after the layoffs at HCSC, maybe we can pivot the energy to something carthartic?

Let’s crowdsource ideas for harmless, policy-accurate compliance. The kind of thing you can do at any company that’s made it clear ethical or moral leadership is... no longer a priority.

We’re talking about doing exactly what’s required, nothing more, nothing less. No sabotage. No risking jobs. Just subtle disengagement that lets you sleep a little better at night, while giving the company exactly what they’ve earned, the bare minimum.

Basically - no team spirit :)

Examples to get us started (some were shared in an earlier post):

Employee surveys? 0’s across the board (except for the 1 question concerning direct manager - mine will always get a 5 - they're amazing). No other comments. No free consulting.

Stop “going the extra mile.” If it’s not in the job description or the SLA, it’s not happening.

“I followed the policy.” (Exactly. To. The. Letter.)

No more “I’ll just handle it real quick” after hours. We’re clocking in and out by the minute (unless it's an expected part of your jd).

Meeting runs past time? “Sorry, I have a hard stop.” Click.

The Rules:

No one here wants to lose their job. These ideas should be safe and policy-compliant.

This is FUN. A release valve.

No “Black on Monday” or anything traceable. Keep it anonymous and professional on the surface.

If you’re here to cape for the company with “But we should think about what’s best for the company,” this thread is not for you. Just scoff and scroll on by.

So... Harmless but satisfying disengagement?

https://www.fec.gov/files/legal/aos/2014-11/1303261.pdf

Word on the street is they want more critical right after the contract has been settled and the job security for no layoffs per merger, but they need their quotas for criticals that just went up ! Again dealing with this company there always a get one over on the worker clause

I honestly don’t see myself ever going back to the office. What happens if I just dont show up—would they actually fire me? Do they even track badge swipes? Is HR planning to enforce this policy ?

Disconnected phone calls leave billions of dollars on the hook for Humana
Health insurance company challenges complex US star ratings system in court

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https://www.ft.com/content/926c6431-c67e-43ae-9ea9-330872d85f7f

Humana sued the government over its rating in October 2024. CMS included foreign-language assistance for customer callers in its stars metrics. To receive five stars on the call centre metric, CMS required a 100 per cent success rate for foreign language calls. Three Humana test calls involving a third-party connecting an interpreter did not work, hurting Humana’s overall star rating.

https://www.ft.com/content/926c6431-c67e-43ae-9ea9-330872d85f7f

https://www.ft.com/content/926c6431-c67e-43ae-9ea9-330872d85f7f

Anyone else been witness to a bunch of shenanigans to pull sales forward into September to make Q3 numbers look good?

one thing i actually miss from my time in sales is those endles online trainings.

they were never abot learning. it was all about pretending. the training team would upload a new course, send an email, and give us a deadline about a month away.

and for 29 whole days nobody on the sales team even looked at it. ignoring it was almost a point of pride. then on day 30 the alarms went off. an email from the boss, marked urgent, full of capital letters and exclamation marks. suddenly it was a crisis.

so we’d all log in, open the training, and click through slide after slide without reading a single word. nobody cared about the content. the only goal was to reach the quiz at the end.

most quizzes needed 80 percent or better to pass. we didn’t study, we just guessed. sometimes someone got lucky on the first try, and then they’d share the answers with everyone else. if you failed, no big deal. you could just keep trying until you passed.

once in a while the system only gave you three tries. that always made me laugh. like what’s supposed to happen if we fail all three? do we get fired on the spot? does the computer lock up forever? nothing ever happened, of course.

in the end, the whole thing was a game. not about learning, not about improving, just about checking a box. and somehow, that’s exactly what made it memorable.

How is the company tracking compliance with the RTO? Are they just looking at badge swipes or the total time spent as well

There are rules to follow when joining home dispatch program. Following the rules helps save gas and time and wear and tear on a vehicle used to drive to work and to home. But MSTs abuse this program from driving to the garage every day and dispatching at the garage. Making a stop at the grocery store to grocery shop in the company vehicle before driving home. Not closing your last job at the job site and instead, drive home and being still dispatched on your work ticket and then closing the job when you arrive home. I follow the rules, and I do not want the home dispatch program to go away because of MSTs taking advantage of the abuse. Also, MST managers are favoring many MSTs and letting the home dispatch MSTs do what ever they want. STOP ABUSING THE HOME DISPATCH PROGRAM YOU MSTs. You know who you are...

Do not commit time fraud. Don’t give any reason to be fired. Good luck

Heads up: L3Harris offices in Plano, TX, Richardson, TX and Ashburn, VA are MISSING -as in UNable to.locate countless DD254's for classified programs based out of these office locations. L3Harris director (S.J.) knows this has been going on for nearly a year and has not reported this up the chain. I was a senior PM who recently left the company after 10+ years to join a real (in the top 5) defense organization. L3Harris will not be landing any new substantive awards.

Wexford is ignoring your instructions.

My team has 12 people and only 7 showed up at the office today. A lot of people are hoping that they will just get away with it.

I saw some noise about “whistle -blowing” on coworkers for “off-channel” communication. Just so everyone’s on the same page, here’s what actually counts according to FINRA/SEC — and what doesn’t.

What off-channel rules are really about:
They’re meant to stop sensitive business communications (like client details, financial transactions, confidential company info) from happening on unapproved apps (WhatsApp, iMessage, personal email, etc.), because regulators require those to be monitored and archived.

What does not fall under off-channel:
• Layoff discussions: Talking with coworkers about who was laid off or how it happened is a protected right, not an off-channel violation.
• Leadership narratives: Pointing out inconsistencies in company/GP messaging is workplace discussion, not regulated business communication.
• Gossip/personal chatter → Not business communication, no compliance issue.
• Sharing Information or organizing → 100% protected by labor law. Companies cannot punish or monitor you for this, no matter the platform.
• General job updates (“I’ve been swamped with calls today”) → Not regulated business activity.

If someone suggests you can’t talk to coworkers online or that you’ll get in trouble for discussing your rights, that’s a scare tactic. Don’t confuse compliance rules with attempts to silence employees. If they try to take action against employees that share information this falls under retaliation.

Bottom line: Off-channel rules exist for business compliance, not for controlling everyday conversations or stopping employees from organizing.

Money was never and will never be my God.

We have a someone in our team who is director in Digital space and he has hired his wife few years ago and both of them work in the same team. How is that allowed ?
Can we complaint to HR ?

How many people work in Corporate Compliance? Are these people necessary or are they basically chimpanzees? Does anyone from CC ever get in trouble when bad things happen? Do they have any real authority or is it just imagined authority so they can keep us safe from the boogie-man?

Axe yourself these questions when you hear about layoffs in Compliance later this week.

Another garbage article on the importance of business integrity. The how does not matter with this company. If it did, I wouldn't be told by my managers to lie on my work order reporting on a daily basis. In order to avoid taking hits on their ISP numbers , EVERYTHING is the customer's fault. Bad switch, CE. Unit train in the way because of no power , CE. No room to spot cars because we didn't pull their loads because of bad power , CE. Everything is the customer's fault. Recrewing trains, call a fake power move. Lies upon lies upon lies.

To switch things up. I have a question. I'm not ELT, not a GP, nor high ranking DL. I'm just a professional associate in my 30s with 15 years experience at this firm and industry. I am in FA facing role, so we have most likely have spoken.

I am curious to what the field actually wants HQ to look like or be. I'm sure you have answered, but I'm not in a position to see those answers. Since this is all anonymous, I figured I could get good perspective. Are service areas still valued? Or should HQ just provide tools and tech, then you at the branch will perform the OPs work?

Should the firm abandon compliance and legal and push risk onto each individual branch?

I know you FAs give up a big portion of pay, so I am just curious and how you envision a Home Office environment if one at all?

After Tuesday things are changing. Maybe for the HQ associates still around, the answers you provide could help. I know I don't mind constructive criticism. But we ultimately have an HR department, so we may not always hear real opinions. What are some real talking points and opinions from the field about HQ?

There are a couple of new stories out of California today.

1. Phillips has settled a wage theft case for ~$12 million. This involves requiring employees to dress out early without being paid, deducting pay for lunches even when the lunches were interrupted or not even started at.
2. The LA Refinery is “sitting on a lake of oil” from leaks over the years. So who is going to buy this land for redevelopment knowing this? It looks like P66 could have been money ahead by spending the money to make it competitive and continuing to operate it. Now they’re going to be paying for many years to clean it up.

Any good law firm recommendation that will fight on a contingency basis? Potentially looking at 7 figure settlement. Corruption and violation of law from senior management all the way to C level.

Well it finally happened! Someone called the anonymous hotline and reported the cheating that was going on with the test to get hired in Carlsbad. I really feel like anyone hired in the last year should have to retake the test without someone helping them and be fired if they can’t pass it. It’s pretty unfair that people missed out on a job opportunity to someone that cheated on the test.

When does a company need to file a WARN notice?

is this illegal? uhc uses vendor software from american companies. my team in india uses the software as a basis to build inhouse software. upper management at uhc (mostly american) and optum (mostly indian) migrate to the inhouse app and sunsets the vendor software.
i don't think it's a straight copy that's being done but the software is extremely similar.

the warning posts were correct, had a HR meeting this morning for my whole team we were laid off, I don't know which other teams or lacations where affected but heard 75 total laid off in KYC our team is only 13 people.

Washington State has adopted a "mini-WARN Act," joining other states with laws that require advance notice for certain layoffs. The piece falls under Employment Law & Compliance and is aimed at HR professionals needing to stay informed about evolving state-level labor regulations. It highlights the growing trend of state-level protections for workers, similar to the federal WARN Act, and indicates that employers in Washington will now have to meet specific notice requirements before conducting large-scale layoffs.

Enhanced monitoring/blocking for Wave 4 of Technology's Location Strategy is in place. All impacted employees will be blocked from:

• Sending external emails.
• Uploading content to the web.
• Printing at the office.
• Printing remotely.
• Using removable media (USB/CD) on their work computer.

Tech managers can request exceptions if needed. If you're not sure if you're impacted by Technology's Wave 4, try doing one of those things.

This is for the haters, trolls and non believers. So, Read it and weep Trolls. Just the facts!!! The are outsourcing risk and compliance rolls! Lots if UGLY TRUTHS. Any other employee would have been fired. Keep driving this FAKE NARRATIVE of making progress.

Here is PROOF!?? Link to pdf:
https://pdfserver.amlaw.com/legalradar/pm-50684461_complaint.pdf

Below is a blip of what is contained in the filing.

“87. The March 2020 Congressional report also faulted the Board of Directors for allowing management to "repeatedly submit materially deficient plans in response to the Consent Orders." Report at p. 36. It noted that Wells Fargo submitted multiple deficient plans that required board review and with regards to plans required by the
OCC, board approval) in response to the 2016 Sales Practices Consent Orders. The Committee staffs investigation revealed that the CFPB and OCC repeatedly rejected the Bank's compliance and redress plans required under the 2016 Sales Practices Consent Orders as incomplete or otherwise deficient. The Report noted that Wells Fargo's Board was directly involved in the process and was specifically told what needed to be done to comply with the consent orders. 27

88. The Federal Reserve's staff even held one-on-one sessions with several of Wells Fargo's directors. 28 Still, the Board of Directors failed to ensure compliance with the consent decrees. For example, on April 3, 2018, Wells Fargo made its first submission of plans for board effectiveness and risk management under the 2018 Federal Reserve Consent Order. "Despite receiving consistent direction from Federal Reserve staff on what sufficiently detailed plans should include, Wells Fargo's first submission of plans for board effectiveness and risk management, made on April 3, 2018, fell woefully short of the Federal Reserve's expectations."29 In a May 7, 2018 response letter, Federal Reserve staff informed Wells Fargo that its submission was so "materially incomplete" that the plans, "cannot be evaluated by [Federal Reserve] staff.”

Brrr, BBrrrr….. oh wait, I think someone is Scharting their pants right now.

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