C-Suite Executives

News & Analysis as of

Back to School – HIPAA 101

After a summer that saw major data breaches at the Office of Personnel Management and UCLA Health System, this fall is a great time to take your organization back to school on HIPAA compliance and data security. Here are...more

NIST Guide Highlights Cybersecurity Considerations for Utilities and Manufacturing Companies

In 2013 alone, the U.S. Department of Homeland Security (DHS) and its Industrial Control Systems Cyber Emergency Response Team (ICS-CERT) responded to more than 256 cyber-incident reports—more than half of them in the energy...more

Conduct Unbecoming Of An Officer And An Employee?

In proposing executive compensation recoupment rules, the Securities and Exchange Commission either overlooked or failed to recognize an important legal distinction. The proposed rules would require national securities...more

Why is it So ($&#%*!) to Hard to Hire People in Compliance?

Maurice Gilbert, head of Conselium Executive Search, the leading executive search firm for compliance professionals, has written a fascinating piece on the difficulty in hiring compliance professionals. He was gracious...more

Why Is It So Hard to Hire People in Compliance?

Ed. Note-I recently asked Maurice Gilbert, founder and CEO of Conselium Executive Search if he would share some thoughts as to why and how a company should use an executive search firm when recruiting a C-Suite level...more

2015 US State of Cybercrime Survey released

The 2015 US State of Cybercrime survey has been released and is worth a read. The Survey, co-sponsored by PwC, CSO, the CERT Division of the Software Engineering Institute at Carnegie Mellon University and the United States...more

Big win for SFO in LIBOR trial – Tom Hayes sentenced to 14 years. More SFO prosecutions to come in financial sector?

The conviction of Tom Hayes in the first UK LIBOR trial is a watershed moment. It’s a big win for the SFO, although it must be said that a more damning book of evidence could not be imagined. The judge’s sentencing remarks...more

Third Circuit Finds Insured v. Insured Exclusion Precludes Recovery of Defense Costs

Many corporate executives may be under the impression that the defense costs they incur when sued for actions taken in their role as officers of the company would be covered by a “Management Protection” insurance policy. The...more

CalPERS And Pay For Performance

A few weeks ago, CalPERS’ Director of Corporate Governance, Anne Simpson, sent a letter to the Securities and Exchange Commission in support of the SEC’s proposed pay for performance disclosure rule. Her letter notes CalPERS’...more

Human Rights as a Business and Reputational Risk

News reports on human rights issues have become a steady drumbeat for companies in a variety of industries that operate in and source from nations in the developing world. The risks to companies posed by human rights abuses...more

Regulators Sue Four Michigan Hospitals for Agreeing to Restrict Marketing Activities

As most people know, agreements between competitors to fix prices or allocate or divide markets are clear violations of the antitrust laws and can result in serious penalties. In industries as diverse as foreign exchange...more

3 Ways to Improve Compliance Training

As the compliance profession matures and evolves, the elements of an effective compliance program follow a similar pattern. Compliance training programs have become more sophisticated over the last five years, as...more

Fee Advancement Considerations Arise From Recent Delaware and Third Circuit Decisions

Recent decisions by the US Court of Appeals for the Third Circuit and the Delaware Court of Chancery have raised important issues regarding fee advancement bylaws or policies of Delaware corporations. Please see full...more

Spoofing Whales: How Companies Can Protect Their CEOs and CFOs from the "Business Email Compromise”

Cyber scammers continually innovate new means to extract valuable information from unsuspecting victims. And a new form of cyber fraud is exploiting the close relationship between CEOs and CFOs. Identifying this threat — and...more

Recent Decision Sheds Light on the ERISA Definition of a Top Hat Plan and the Absence of Detailed Guidance

The “top hat plan” exception to full ERISA coverage of an employee benefit plan is the very foundation of executive deferred compensation. The exception provides that “a plan which is unfunded and is maintained by an...more

Legal Issues Business Leaders Need to Know in 2015: Top 10 Checklist

A compilation of time-sensitive and trending legal and regulatory issues that general counsels and business leaders should be aware of in 2015. Employers Should be Aware of Multigenerational Workforce Risk - For...more

Impact of Iran Accord on International Business - Briefing the "C" Suite on the Joint Comprehensive Plan of Action with Iran

On July 14, 2015, the United States, France, China, Russia, the United Kingdom, Germany and the European Union (EU) entered into the Joint Comprehensive Plan of Action (JCPOA) with Iran after years of difficult negotiations....more

The SEC’s Unconvincing Case Against Indemnification

The Securities and Exchange Commission’s proposed rules take a hard line against issuers indemnifying executives against clawbacks: We believe that indemnification arrangements may not be used to avoid or nullify the recovery...more

FTC announces data security guidance for businesses

We (and others) often comment on the Federal Trade Commission’s (FTC) increased enforcement activity of data security issues, particularly with the Wyndham and LabMD cases, and the fact that it is enforcing data security...more

The Third Man and the Authority of Chief Compliance Officers

Harry Lime is back, although he really never left us. As reported by Kristin M. Jones in a Wall Street Journal (WSJ) article, entitled “Harry Lime Reborn”, the glorious British film noir The Third Man, written by Gra ham...more

FFIEC’s Cybersecurity Assessment Tool: Guidance for CEOs and Boards - Senior Management and Boards Should Be Actively Addressing...

The Federal Financial Institutions Examination Council (FFIEC) released a Cybersecurity Assessment Tool (CAT) on June 30, 2015, to assist organizations in identifying cyber risks and assessing their cybersecurity...more

FFIEC’s Cybersecurity Assessment Tool: Guidance for CEOs and Boards - Senior Management and Boards Should Be Actively Addressing...

The Federal Financial Institutions Examination Council (FFIEC) released a Cybersecurity Assessment Tool (CAT) on June 30, 2015, to assist organizations in identifying cyber risks and assessing their cybersecurity...more

June Whistleblower Digest | Does Your Ethics Training Adequately Cover Anti-Retaliation?

Pop quiz: what are the three criteria the SEC stated they would hold a chief compliance officer accountable for? Well, I admit that was a trick question, because even if you got them right, the SEC is ruffling feathers by...more

Effective Information Security Governance: Executive Support a Must

According to a very recent report by the Identity Theft Resource Center, the first half of 2015 alone saw 400 publicized security breaches with over 117 million records exposed. While most organization have ongoing...more

Russian Legislation Update

In This Issue: - Undesirable organizations - Banking - Employment/Court Practice: a Company’s CEO and Members of the BOD - Excerpt from Undesirable Organizations: On 23 May 2015 the Russian...more

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