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Day 15 of One Month to a Better Board-the Board Role in Hiring [Video]

What is the role of a Board of Directors in hiring senior executives, Chief Compliance Officers and even other Board members? I recently explored this issue with Candice Tal, founder and CEO of Infortal, a global security and...more

Day 14 of One Month to a Better Board-Boards and Doing Business in China [Video]

The bribery and corruption case of GlaxoSmithKline PLC (GSK) resonated across the corporate globe. While many questions are still unanswered, one that seems to be at the forefront of the inquiry was where was the GSK Board of...more

Day 13 of One Month to a Better Board-Board Failures in Compliance [Video]

The failure of a Board of Directors to engage in its duties and obligations around the compliance function can be devastating. Today I consider cases where Boards failed in those duties. ...more

Day 12 of One Month to a Better Board-What Leads to a Successful Board Investigation [Video]

What are metrics for a Board around compliance? Former Assistant Attorney General Leslie Caldwell laid out some that the Justice Department would consider in a review of compliance programs. These metrics are: ¥ Does the...more

Everything Compliance-Episode 7 [Video]

This episode is dedicated to the chaotic (at best) first three weeks of the Trump administration. Jonathan Armstrong leads a discussion of the Trump administrations devolution towards Privacy Shield and what it may portend...more

Compliance into the Weeds-Episode 28 [Video]

In this episode, Matt Kelly and I take a deep dive into the new Microsoft security analysis tool, Secure Score which will rate a company’s IT and data security protocols. We use his blog post on the topic, “Microsoft...more

Day 11 of One Month to a Better Board-What Leads to a Successful Board Investigation [Video]

What are seven factors which can lead to a successful investigation commissioned and led by a Board of Directors. In this episode, I discuss an article in the Corporate Board magazine, entitled “Successful Board...more

Day 10 of One Month to a Better Board-What is Your Board's Investigation Protocol [Video]

Many companies have an investigation protocol in place when a potential Foreign Corruption Practices Act (FCPA) or other legal issue arises? However, many Boards of Directors do not have the same rigor when it comes to an...more

In Case You Missed It: Launch Links - February, 2017

Some interesting links we found across the web this week: Why Was the Winter for Venture Capital Funding so Short? While we all thought winter was coming, it looks like VCs are already enjoying spring thanks to the...more

Day 9 of One Month to a Better Board-Board Governance and Risk [Video]

One of the ongoing questions from members of Board of Directors is how to resolve the tension between oversight and managing. I recently had the opportunity to visit with Joe Howell, the Executive Vice President (EVP) of...more

Compliance into the Weeds-Episode 27-Greek Gods, Data Hacks and MLB [Video]

In this episode, Matt Kelly and I consider the data hacking of the Houston Astros by an executive of the St. Louis Cardinals. We mine the story for not only compliance lessons but also data protection reminders and throw in...more

This Week in FCPA-Episode 39-the Super Bowl LI edition [Video]

In this episode, Jay Rosen and I review the recent Super Bowl LI from the compliance perspective; mining the Patriots 'for the ages' comeback and the Atlanta collapse for lessons for the compliance practitioner....more

Day 8 of One Month to a Better Board-Board of Directors Compliance Oversight - An Internal Control Under SOX [Video]

James Doty, Acting Commissioner of the Public Company Accounting Oversight Board (PCAOB) was once asked if the Board or its sub-committee which handles audits was a part of a company’s internal financial controls. He answered...more

Day 7 of One Month to a Better Board-the Board's Role with Internal Controls [Video]

What is the Board's role with the internal controls a company need to institute? Each company defines its internal controls to fit its business by determining what the Company wishes to protect and what type of control...more

Your Daily Dose of Financial News

While Wall Street’s been waiting with bated breath for the big Snap IPO, Jose Cuervo (yes, that Jose Cuervo, via parent company Becle) has briefly stolen a bit of its public offering thunder with its plans to sell shares on...more

Report on U.S. Semiconductor Industry Raises Implications for PRC Investments in U.S. Companies

In January 2017, the President's Council of Advisors on Science and Technology (PCAST) issued a report to then President Barack Obama titled "Ensuring Long-Term U.S. Leadership in Semiconductors."1 The report assesses the...more

Day 6 of One Month to a Better Board-Inquiring Up and Down [Video]

Where does “Tone at the Top” start. With any public and most private US companies, it is at the Board of Directors. But what is the role of a company’s Board in FCPA compliance? We start with several general statements about...more

Day 5 of One Month to a Better Board-the OIG Guidance for Board's Regarding Compliance [Video]

In this episode I consider the OIG Guidance for the Compliance Committee of a Board. ...more

Day 4 of One Month to a Better Board-Why Compliance Expertise is Needed on the Board [Video]

Every Board of Directors need a true compliance expert sitting on their Board. Almost every Board has a former Chief Financial Officer (CFO), former head of Internal Audit or persons with a similar background and often times...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - 2016 Data Breach Legislation Roundup: What to Know Going Forward - States were busy updating their data breach notification statutes in 2016. With 2016 in the rear view, let's take...more

This Week in FCPA-Episode 38-the M&M Edition [Video]

Show Notes for Episode 38, for the week ending February 3, the M&M edition: 1. January a month for the FCPA record books. 2. Are hunting trips a FCPA violation? How about in Sweden? 3. VW update-what the former CEO...more

DAY 2 OF ONE MONTH TO A BETTER BOARD-PRUDENT DISCHARGE OF COMPLIANCE OBLIGATIONS [Video]

What are the obligations of a Board member regarding the FCPA? Are the obligations of the Compliance Committee under the FCPA at odds with a director’s “prudent discharge of duties to shareholders”? Do the words prudent...more

Day 1 of One Month to a Better Board-Legal Requirements of a Board Regarding Compliance [Video]

Welcome to Day 1 of One Month to a Better Board. In the month of February I will present a blog post, together with a podcast each day, both designed to help you create a best practices compliance program in 2017. This month...more

Your Daily Dose of Financial News

The Deal Professor thinks that Alibaba’s play for MoneyGram (via its Ant Financial arm) could tell us a lot about how the new administration will handle Chinese investment in the US....more

Compliance into the Weeds-Episode 26-is CCO liability real? [Video]

In episode Matt Kelly and I take a deep dive into a recent SEC enforcement action involving Susan Diamond, a CCO at a financial advisory firm. She made representations on forms submitted to the SEC regarding the firm’s...more

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