Anti-Corruption Compliance Program Audits
How to Monitor, Audit and Improve Your Anti Corruption Compliance Program
FCPA Compliance and Ethics Report-Episode 82, continued fallout from GSK in China
Antitrust Enforcement and Compliance Programs
Anti-Corruption Due Diligence Practical Steps to Protect Your Company from Third Party Risks
FCPA Compliance Programs A Review of Best Practices
Fine Tuning Your Anti Corruption Compliance Program
FCPA Compliance and Ethics Report-Episode 80, Interview with the FCPA Professor, Part I
Creating an Integrated Due Diligence System - Screening to Audits
Third Party Due Diligence When is Enough, Enough?
An FCPA Review: A Look Back at 2013 and Trends for 2014
Building an Anti Corruption Compliance Program Practical Steps 2 18 14, 9 02 AM
Internal Investigations: Soup to Nuts (March 13, 2014)
How Can You Better Protect Yourself with the Escalating Trend of FCPA Enforcement?
How Fenwick Partners Caught the Tech Wave
The Role of a Chief Compliance Officer: Navigating the Compliance Landscape (March 18, 2014)
Keeping Your Due Diligence System Manageable March 31, 2014
Tailoring Your Anti Corruption Program to a Risk Assessment
Managing Your Anti Corruption Policies and Procedures
FCPA Compliance and Ethics Report-Episode 78-2014 FCPA Wrap Up for the first six months
The Eighth Circuit Court of Appeals recently held that, under Minnesota law, multiple wrongful acts by a financial advisor to four plaintiffs are “interrelated” and “logically connected” within the meaning of the policy’s...more
Novel theories by plaintiffs’ lawyers need to foster novel approaches by M&A lawyers.
A number of recent cases highlight the increasing risks for financial advisors and the lawyers who represent them. Financial...more
A summary and discussion about SEC v. Thor Industries, including the allegations, the remedies, who did or did not do what, and improvements that could be made by the SEC and in governance and risk....more
Shouldn't CLE be free? Now it is, as The Network of Trial Law Firms today launched its TRIAL.COM Online CLE Center at www.TRIAL.COM/cle. The service is 100% free and attorneys watching the videos can qualify for CLE credit in...more
D&O, GRC and Accountant Update 8.28.10, the new SEC proxy access rules, and links to articles of interest.
Dave Tate, Esq.
D&O, Governance, Risk, Compliance (GRC) and Accountant Update 8/20/10....more
A brief discussion on third party liability of professionals (Aiding & Abetting liability). Posted by Attorney Brian Mahany, founder of MahanyLaw....more
Audit committee annual self evaluation form in Adobe allowing for information input....more
Audit Committee Agenda updated April 1, 2009...more
Public and private company audit committee responsibilities and risk management....more
A paper discussing nonprofit audit committee functions and responsibilities....more
Governance lessons learned from SEC v. Con-way, Inc....more
This is a memo that I wrote as part of a practicum/internship component of a study-abroad program that I attended in Santiago, Chile during the summer of 2008. It provides a general overview of the Sarbanes-Oxley Act, as...more
The author argues that fee-based financial professionals (i.e., stockbrokers, financial advisors, financial planners) should be subject to per se fiduciary duties. The article was published in the Spring 2007 edition of the...more
This article was published in the Spring 2007 edition of the PIABA Bar Journal. The author argues that fee-based investment advisors should be subject to per se fiduciary duties....more
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