Risk Management

News & Analysis as of

Would You Drop to the Floor If Shooting Broke Out In Your Workplace?

With depressing regularity, we receive calls asking for guidance in evaluating and responding to potential workplace violence threats. The threats are rarely serious but in this era, one can never ignore concerns. There are...more

Managing Threats to Corporate Reputations (Part II of III)

Most companies do not adequately manage their reputations and the risks to their reputations. Too many companies are focused on “crisis” management, which is just another way to respond to a reputational risk that has already...more

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

Social Media Offers Benefits, Compliance Challenges

With the rise of social media, compliance departments are facing a slew of new challenges. Indeed, social media use is growing at a markedly fast rate among companies, and its benefits are multi-faceted for a company’s image...more

Generating Life Sciences Brand Names: 5 Key Tips

In the challenging and complex world of life sciences product development, choosing a brand that survives the US Patent and Trademark Office and US Food and Drug Administration clearance processes is critical. Brand names in...more

New Guidance for Financial Institution Directors and Officers In Cybersecurity Preparedness

Earlier this summer, the Federal Financial Institutions Examination Council (FFIEC) released its highly anticipated Cybersecurity Assessment Tool (Assessment), which is designed to assist financial institutions in identifying...more

United Kingdom: handling internal investigations

With so much potentially at stake, the initial steps and strategic decisions taken in any company investigation are critical to setting the tone for a focused, credible and effective inquiry. This is paramount not only for...more

CA Supreme Court Finds “Consent-to-Assignment” Clauses Unenforceable After Loss Occurs During the Policy Period

In Fluor Corporation v. Superior Court (No. S205889; filed 8/20/15), the California Supreme Court overruled its earlier decision in Henkel Corp. v. Hartford Accident & Indemnity Co. (2003) 29 Cal.4th 934, holding that...more

California Supreme Court Limits Enforceability of Anti-Assignment Clauses

In a unanimous decision handed down by the California Supreme Court on August 20, 2015 in Fluor Corporation v. Superior Court, the court removed a significant obstacle facing companies that want to assign their interests in a...more

Basel Committee issues standardised approach FAQ

Basel Committee has issued an FAQ, which it intends to keep updated, on the standardised approach for measuring counterparty credit risk exposures....more

Monitor Financial Distress in Your Supply Chain

While American manufacturing has experienced a resurgence in recent years, some manufacturers continue to face challenges. Witness for example the recent chapter 11 filings of Colt, Boomerang Tube, and Everyware Global....more

[Webinar] Sports, Spies and Hacks: Protecting Confidential Information - August 27th, 12:00pm EDT

Sports teams are the latest targets for data breaches. The stakes are high – confidential scouting reports, data about players, prospects and trade talks represent the ultimate trade secrets, the crown jewels that if exposed,...more

Separately Assessing Separation Agreements

Separation or severance agreements —which typically provide a terminating employee with some kind of cash payment, temporary salary continuation, or other gratuitous benefit in exchange for a release of claims — have their...more

Wire transfer phishing - an old scam returns: simple steps to protect your organization

Companies around the world are seeing the resurgence of an old scam: wire transfer phishing attacks that trick employees into wiring money from company bank accounts to criminals’ bank accounts. Over the past several...more

Wire transfer phishing - an old scam returns: simple steps to protect your organization

Companies around the world are seeing the resurgence of an old scam: wire transfer phishing attacks that trick employees into wiring money from company bank accounts to criminals’ bank accounts. Over the past several...more

New Citywide Construction Fraud Task Force Promises Tough Enforcement

On August 5th, the Manhattan District Attorney (the "DA’s Office") announced the formation of a multi-agency Citywide Construction Fraud Task Force that will be spearheaded by prosecutors from the office. Its mission is...more

The BHP Case and Enforcement of The FCPA’s Internal Controls Provision

Ed. Note-today we have a guest post from Jean-Michel Ferat ,CPA, CFF is a Managing Director in the Washington D.C office of the Claro Group around his views on the BHP Billiton enforcement action. Much has been made in...more

Tragic Death Focuses Attention on Campus Police

While the nation’s attention has been focused on incidents involving the use of lethal force by local police—and ensuing racial and community unrest, protest, and violence—recent incidents involving campus police highlight...more

OCC Names First Ever Chief Risk Officer

On August 6, the OCC named Linda Cunningham as its first Chief Risk Officer. Ms. Cunningham will lead the agency’s newly created Office of Enterprise Risk management and will report directly to the Comptroller of the...more

The key to information governance success lies within the framework

There is no secret sauce to achieving information governance nirvana. The reality is someone must take ownership of an organization’s information governance program. The industry as a whole has been discussing organizations...more

Assessing Your Cybersecurity Preparedness: It May Be Time to Update Your Bank’s Information Security Plan and Response Program

With increased oversight, regulatory scrutiny and risk related to cybersecurity, now is the time for those in the banking industry to be proactive in managing cybersecurity risk. Waiting until a breach occurs to formulate or...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

AMF Publishes 2015 Risk Mapping - The AMF published its 2015 mapping concerning the main risks affecting the financial markets and analysing highlights statements regarding market developments and financing of the...more

What Every Company’s Board Must Know About Cybersecurity

In recent years, data breaches at some of the world’s largest corporations have made news. But smaller companies are just as vulnerable, and must take steps to protect their data. In addition, businesses that serve as vendors...more

How Healthy is Your Hotline? Key Takeways to Managing Your Third Party Call Center and Optimizing that Relationship to the Fullest

With more and more public companies engaging third party call centers to “check” the whistleblower program box (as they must), expectations for these call center are exceedingly high, while visibility into the day to day...more

RMP and General Duty Clause Enforcement Continues at EPA Region 1

As we reported last year, the U.S. EPA has stepped up its enforcement activity under the risk management provisions of the Clean Air Act (“CAA”), Section 112(r), focusing on both the Risk Management Plan (“RMP”) program rules...more

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