Risk Assessment

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Financial Services Quarterly Report - Third Quarter 2016: Managing the Compliance Aspects of Private Equity Investments

International business transactions can be subject to intense scrutiny due to the broad scope of the U.S. Foreign Corrupt Practices Act (FCPA) and the UK Bribery Act, in addition to other similar anti-corruption measures...more

5 Challenges in International Fraud Investigations. Alexis Bell, Fraud Doctor, Explains

Alexis Bell, CEO of Fraud Doctor LLC, discusses challenges in fraud investigation overseas. At least 5 different ways your fraud investigation can be impacted when it is conducted internationally...more

The New York State Department of Financial Services Proposes Robust Cybersecurity Rules

On September 13, 2016, the New York State Department of Financial Services (DFS) proposed new rules that would require certain “Covered Entities” to establish and implement cybersecurity programs designed to protect nonpublic...more

Digital Currencies and Blockchain Technology Threaten to Disrupt Traditional Banking Services

To most people, the concept of digital currencies is synonymous with the name Bitcoin. However, hundreds of digital currencies exist. In fact, WorldCoinIndex.com tracks 445 currencies, and CoinMarketCap.com tracks 732....more

EPA Announces Public Meeting To Comment On Algae Guidance Documents

On October 12, 2016, the U.S. Environmental Protection Agency (EPA) announced a public meeting on the draft Algae Guidance for the Preparation of [Toxic Substances Control Act (TSCA)] Biotechnology Submissions (Algae...more

New York's New Cybersecurity Rules: What Is Required?

The new cybersecurity rules proposed by the New York State Department of Financial Services require financial services institutions to have extensive cybersecurity protections in place; including cybersecurity programs,...more

Monster Movie Month: Episode 2 – The Bride of Frankenstein and Upcoming Events

Welcome to my second installment in this month’s classic monster movie festival. This year I am revisiting the Frankenstein series and today I want to explore and, indeed, honor the second in the series but what many viewers...more

Alberta’s Workers’ Compensation Appeals Commission frees purchaser of the poor WCB record of the company it acquired

In this case, a public company (Newco) had purchased the assets and undertaking of a business (Oldco) as part of a larger national transaction.  Newco then carried on the business under a new name and a new corporate...more

European Banking Authority Draft Guidance on Information and Communication Technology Risk

The European Banking Authority launched a consultation on the proposed Guidelines for the assessment of Information and Communication Technology risk under the Supervisory Review and Evaluation Process. ...more

With Penalties On The Rise, It's Time For Employers To Clean House Before OSHA Arrives

For the first time in twenty-five years, Occupational Safety and Health Administration (OSHA) fines have increased significantly. In particular, last fall Congress enacted legislation that required all federal agencies to...more

HIPAA Compliance – Not Just an Issue for Health Care Providers

Many people believe that compliance with the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”) is solely an issue for health care providers and their affiliates. However, nothing could be further from the...more

Should You Sue Your Client or Customer?

Business owners, executives and managers are well aware of something more frustrating than rush hour traffic: clients or customers who don’t fulfill their obligations. So, what are your options? One option is to take legal...more

Risk Doesn’t Stand Still, Neither Should Your Program. It’s Time to Assess.

Considering an assessment of your ethics and compliance efforts? The question is not if but when. In the ever-changing world of business, when are you going to ensure that your compliance program is keeping pace with the...more

Sir Neville Marriner: Is Compliance Driven by What You Inspect?

Sir Neville Marriner died on Sunday. For any aficionado of classical music, Marriner’s contribution to the genre was immense, having founded the chamber orchestra, Academy of St. Martin’s in the Fields in 1958. The group was...more

4 Key Requirements of CMS’ New Emergency Preparedness Rule

In an effort to establish consistent emergency preparedness requirements, increase patient safety, and ensure coordinated responses to catastrophes, the Centers for Medicare and Medicaid Services (CMS) released the Emergency...more

California Expands Data Breach Notification Law

California’s data breach notification law is already considered the most stringent in the United States. Based on a new amendment recently signed into law, the law will soon get even tougher....more

Mine Safety Agency Warns of Equipment and Machinery Dangers

In the wake of three deaths over the past year involving mine equipment and machinery, the Mine Health and Safety Administration has issued a safety alert to prevent mining accidents: “Blocking Against Motion.” MSHA said...more

Twenty-Three Years Later, One Day Shorter: SEC Proposes T+2 Rule Amendment

Twenty-three years after adopting Rule 15c6-1 under the Securities Exchange Act of 1934 (“Exchange Act”) to establish T+3 as the standard settlement cycle for broker-dealer transactions, on September 28, 2016, the SEC...more

New Economy Businesses Need New Insurance: Can the Insurance Industry Keep Up?

The sharing economy and new technology innovations have disrupted the traditional underwriting and risk assessment models....more

Can Using Social Media Lead to a Lawsuit? (Part 3)

In this third and final part of this blog series, I will address the intersection of social media and intellectual property rights, as well as how and when social media may be used as evidence during trial....more

I’m Not a Lawyer – I’m a Race Car Driver – P3 Stage 2: Perform

I started the inaugural entry in this blog with the statement I’m not a lawyer, I’m a race car driver. Just after posting that entry, I had a race weekend and I wrote about the first facet of the P3 theme I introduced to you...more

Survey Shows Employees Top Security Risk for Companies

A recent survey conducted by Arlington Research for OneLogin in May 2016 of 1,022 respondents found what most of us already know: employees continue to be a high risk for employers when it comes to security risk. The...more

Germany Publishes Review of the Joint Research Strategy of the Higher Federal Authorities

On September 19, 2016, the Federal Institute for Occupational Safety and Health (BAuA) published a report entitled Review of the joint research strategy of the higher federal authorities — Nanomaterials and other advanced...more

Trust But Verify - Due Diligence with a Jaded Eye

Ronald Reagan’s mantra with respect to US-Soviet relations in the 1980s applies with equal force to today’s world of due diligence. (I know it shows my age that I can recall this statement). Not all due diligence cases...more

European Banking Authority Reports on Core Funding Ratio

The EBA reports that overall there appears to be a lack of correlation in terms of outcomes and conclusions between the core funding ratio and the net stable funding ratio for the whole sample, in particular for smaller...more

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