Risk Assessment

News & Analysis as of

Managing whistleblower complaints

Getting employees to actually speak up and report when they see signs of wrongdoing can be hard. Many times if wrongdoing is happening in the workplace, there are employees who know it's happening. Yet perhaps they don't have...more

Employee Danger Zone: An Overview of Employer's Considerations when Disaster Strikes

The shocking news of recent airline disasters brings into sharp focus for employers the sometimes unforeseeable risks facing employees who frequently travel for work. In today's world, the ability to dispatch the right...more

Corruption Risks in Pharma Manufacturing in Russia

The Russian government has targeted the pharmaceutical industry for growth and development, adopting a program Pharma 2020 Strategy. This program aims to improve the competitiveness of the Russian pharmaceutical industry and...more

Think Beyond Social Media Training: There’s More than One Way to Manage Social Media Risk

I have to admit that since I’ve thrown myself into the deep end of the compliance field, I may have gotten a bit narrow-minded, especially when it comes social media. When social media came up in my MBA Information Technology...more

Bitcoin In The News: International Reports, California Makes It Legal

Virtual and digital currencies continue to be the focus of policy makers around the globe. In addition to new reports from international bodies addressing both the benefits and risks of the currencies, California...more

FHFA OIG Assesses Risks From Smaller Lenders And Nonbank Mortgage Companies

On July 17, the FHFA Office of Inspector General (OIG) published a report on risks to Fannie Mae and Freddie Mac (the Enterprises) related to purchasing mortgages from smaller lenders and nonbank mortgage companies....more

Designing Cost Effective Risk Assessment Programs May 21, 2014 [Video]

The foundation of every anti-corruption ethics and compliance program is a risk assessment. It is important to design and implement a process to conduct an initial risk assessment, to update the risk assessment, and to ensure...more

ACOs And Pay for Value … About the Data

It has been over three years since the Centers for Medicare and Medicaid Services (CMS) announced its proposed rule and guidance on the development and implementation of Accountable Care Organizations. About four million...more

Global Boardroom Risk Solutions Newsletter

Now more than ever, there is a need for risk solutions in the boardroom. Any organization can be faced with a significant crisis, whether a fraud investigation, a regulatory infringement, allegations of anticompetitive...more

New York AG Reports that Data Breaches Cost New York Businesses over $1B Last Year

The current headline in data security is a just-released report from the New York Attorney General's Office (the "AG Report") announcing that the number of reported data breaches more than tripled between 2006 and 2013,...more

OCC Report Lists Key Risks For Review In Upcoming Examinations

Highlighting the operational, strategic, and compliance risks confronting financial institutions, the Office of the Comptroller of the Currency (OCC) published its “Semiannual Risk Perspective” report in late June based on...more

Rationalizing Risk: Compliance as "Bonus Prevention"

As part of my series on “Rationalizing Bribery,” I now turn to the issue of personal incentive compensation. As tweeted by Ben DiPietro, @BenDiPietro1, Wall Street Journal Reporter, during my interview at the Dow Jones Global...more

It’s All "Just Paperwork" Until Somebody Gets Hurt: Be Proactive in Preventing Workplace Violence

“Help, there is an angry man waving a gun around in the lobby!” These are the kinds of words no employer wants to hear and can make all other concerns seem trivial in comparison. Sadly, the statistics confirm what we...more

Emerging Markets: Opportunity, Risk, and What it Means for Brand Protection  [Video]

Monica Riva Talley, director at the intellectual property law firm Sterne, Kessler, Goldstein & Fox, P.L.L.C., discusses the opportunity and risk presented by emerging markets, and what it means in terms of a global brand...more

New York Attorney General Report Shows the Number of Data Breaches is on the Rise and Recommends Steps to Take for Protecting...

On July 15, 2014, the New York Attorney General issued a report examining the growing number and costs of data breaches in the state of New York. The report titled, “Information Exposed: Historical Examination of Data...more

Risk Planning and Board Liability

Board members are in the hot seat, or to put it another way – they are in a hot kitchen. The question is whether they can stand the heat of the hot kitchen....more

Mergers and Acquisitions Under the FCPA, Part II

Yesterday I began a three part series on mergers and acquisitions under the Foreign Corrupt Practices Act (FCPA). In Part I, I reviewed what you should accomplish in the pre-acquisition stage. Today I want to look at what you...more

BVI's National Risk Assessment scheduled

The British Virgin Islands (BVI) is scheduled to undergo its Fourth Round of Mutual Evaluation by the Caribbean Financial Action Task Force (CFATF) in 2017 based on the Financial Action Task Force’s (FATF) International...more

Transparency and Human Trafficking: Is Your Company Prepared?

Companies increasingly face expectations that they will “know and show” that they are taking appropriate steps to manage the human rights impacts associated with their business activities. New transparency requirements on...more

OCC Examines Risks Facing National Banks and Federal Savings Associations

On June 25, the OCC released a report presenting its findings on the risks facing national banks and federal savings associations. ...more

FRB Governor Tarullo Offers Retrospective and Perspective on Supervisory Stress Testing

In remarks delivered to the FRB’s Third Annual Stress Test Modeling Symposium FRB Governor Daniel K. Tarullo focused on the “qualitative assessment of [large] firms’ capital planning processes” that the FRB conducts “in...more

OCC Report Highlights Cybersecurity, BSA-AML, Indirect Auto Underwriting Concerns

On June 25, the OCC published its semiannual risk report, which provides an overview of the agency’s supervisory concerns for national banks and federal savings associations, including operational and compliance risks....more

Compliance in the C-Suite

The ongoing debate whether certain executives are “too big to jail” misses the most important trend in corporate governance – namely, that criminal conduct is rising in the C-Suite. Viewed from a broad perspective, since...more

FCPA Compliance and Ethics Report-Episode 72-interview with Michael Rasmussen [Video]

In this episode of the FCPA Compliance and Ethics Report, I interview Michael Rasmussen, the GRC Pundit. As the man who coined the phrase 'GRC' Michael is one of the country's top GRC experts. He talks about the recent OCEG...more

To keep data safe, law firms must embrace a culture of security

As the White House report on big data indicates, an enormous amount of information is collected, stored, analyzed and relayed in digitized form over the Internet and, increasingly, using mobile technology. Headlines...more

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