Compliance Perspectives: The Antitrust Division’s Office of Decree Enforcement
Volatile Times in Vapor Intrusion Regulation: A Legal and Technical Update
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
Podcast - Risk Management: Impact of Revised FCPA Policy on International Risk Management Programs
Podcast - Risk Management: Revised FCPA Corporate Enforcement Policy
Day 16 of One Month to More Effective Continuous Improvement-Voluntary Monitoring
Day 7 of One Month to Better Investigations and Report-How Investigations Inform Remediation
Day 22 of One Month to Better Compliance Through HR-10 Questions to Better Operationalize Compliance
FCPA Compliance and Ethics Report-Episode 31-the FCPA Year in Review, Corporate Enforcement Actions
Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA
Over the past 15 months the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) has made clear through three Foreign Corrupt Practices Act (FCPA) enforcement actions and speeches, their priorities in...more
It is tempting for organizations to downplay compliance violations as an isolated event attributable to a few bad apples. However, experience teaches that misconduct is often worse than initially thought. Wrongdoers who...more
Do you want to learn valuable strategies for identifying and mitigating risk in your organization? This virtual workshop will give you a comprehensive look at how to perform better compliance risk assessments — an...more
SCCE’s Compliance & Ethics Institute (CEI) is our flagship educational and networking event for compliance and ethics professionals across the globe. Leading industry professionals cover real‑world compliance issues, emerging...more
Learning Objectives: - Benefits of doing a comprehensive security risk assessment - Understanding of the scope of a comprehensive risk assessment - Ability to evaluate their current security risk assessment - Ability to...more
Get insight and guidance on conducting more effective risk assessments - Do you want to learn valuable strategies for identifying and mitigating risk in your organization? This virtual workshop will give you a...more
For regular readers of Risk & Compliance Matters, you’re surely familiar with the importance of maintaining a mature compliance program – and the benefits this has on an organization’s culture and adherence to regulatory...more
HaystackID Educational Webcast The SEC recently proposed significant changes for PE reporting requirements. Whether these amendments are adopted or not, one thing is for sure; all alternative investment organizations are on...more
Our Virtual Regional Compliance Conferences provide updates on the latest news in regulatory requirements, compliance enforcement, and strategies to develop effective compliance programs. Watch, listen, and ask questions from...more
Investment Bank Fined $400 Million For Failing to Remediate Deficiencies in its Risk Management Systems - On October 7, the Federal Reserve Board and Office of the Comptroller of the Currency issued a consent order...more
On September 10, 2020, the Commodity Futures Trading Commission (“CFTC”) Division of Enforcement released its long-awaited “Guidance on Evaluating Compliance Programs in Connection with Enforcement Matters,” which will be...more
Several years ago when cybercrime and attacks on corporate information and funds were less common, corporate counsel may have been justified in expecting the government to take a leading role in efforts to identify, locate,...more
One of the key lessons I learned in doing the research for The Complete Compliance Handbook is how compliance programs best practices have evolved beyond the basic requirements laid out in the 2012 FCPA Guidance’s Ten...more
Wells Fargo’s ability to grow its business is on hold for a year while it designs and implements a remediation program to address deficiencies in its board governance, risk management and compliance program. ...more
In an extraordinary action, with significant ramifications for the financial industry, the Federal Reserve recently announced a series of enforcement actions against Wells Fargo....more
Many have focused on the more technical aspects of the remediation component of a potential Foreign Corrupt Practices Act compliance violation. I wanted to explore the soft skills that a CCO must use, both internally and...more
Today I continue a five-part series on the soft skills a Chief Compliance Officer (CCO) needs to employ when working through the remediation component of a potential Foreign Corrupt Practices Act (FCPA) compliance violation....more
Today, I continue a five-part series on what a Chief Compliance Officer (CCO) needs to consider when working through the remediation component of a potential Foreign Corrupt Practices Act (FCPA) compliance violation. I am...more
Many Chief Compliance Officers (CCOs) came to the position from the legal department, internal audit or another professional discipline. These professions are technically focused and their training provides little to no soft...more
I guess Matt Kelly cannot leave his journalist roots for it was he who broke the story within the greater compliance community that the Department of Justice (DOJ) very quietly released a document, entitled “Evaluation of...more
Foreign Corrupt Practices Act (FCPA) enforcement continues to be a priority for the United States Department of Justice (DOJ) and Securities and Exchange Commission (SEC). In recent years, U.S. authorities have aggressively...more
Companies doing business in Canada should identify and manage the risks associated with legal liability for harm that has been (or may be) caused to the environment. Environmental legislation (statutes and regulations) in...more