Risk Assessment

News & Analysis as of

Creating a Speak-Up Culture in the E.U.: Five Key Challenges Compliance Professionals Are Tackling

This autumn, I moderated two roundtables—one in Stockholm and one in Geneva—on the challenges of creating a speak-up culture. With nearly two dozen senior ethics and compliance professionals in attendance, it made for a very...more

BYOD In Australia - Cool, Cheap And (Potentially) Catastrophic!

THE ALLURE OF THE POTENTIAL COST SAVINGS OF BRING YOUR OWN DEVICE PROGRAMS IS TOO GREAT FOR MANY AUSTRALIAN ORGANISATIONS TO RESIST. Not only do the financials of Bring Your Own Device (BYOD) programs look good (the...more

Maritime Cybersecurity: A Growing Threat Goes Unanswered

The maritime industry may beone of the oldest in the world, but in-depth reports issued by the United States Accountability Office (“GAO”) and the European Network and Information Security Agency (“ENISA”) confirm that our...more

Upstream Assessment of Downstream Export Issues

Your company is a midsize manufacturer of computer network hardware and software, some of which is really cutting-edge technology. A significant portion of your products is exported overseas, either by you directly or by your...more

Arrival of Ebola Virus Prompts Policyholders to Assess Insurance Coverage

With news of the Ebola virus arriving in the United States, many companies are moving quickly to protect the health and safety of their employees and customers. At the same time, some insurance providers have already...more

CARB’s Invalidation of Offset Credits Highlights Importance of Risk Allocation

On October 8, 2014, the California Air Resources Board (CARB) issued a preliminary determination invalidating more than 230,000 offset credits on grounds that an Arkansas-based chlorofluorocarbons (CFCs) incinerator was not...more

Structuring Energy and Natural Resource Investments into Sub Saharan Africa

An improving investment climate - Perceptions of Africa as an investment destination are changing rapidly and parts of Africa are increasingly considered very attractive for foreign direct investment. Compare this to...more

Inside M&A - Fall 2014

Managing Compliance Risks in M&A Transactions - Buyers can acquire unintended and potentially very damaging liabilities together with target business or assets. Analyzing the financial situation of a target company,...more

Government's Message to Corporate America — "We Want Your Whistleblowers!"

On September 22, 2014, the Securities and Exchange Commission's (SEC) Office of the Whistleblower announced that it had issued a $30 million bounty payment to a foreign whistleblower. This award is more than double the...more

Department Of Justice Official Provides Fresh Guidance on What Constitutes an Effective Corporate Compliance Program

When can a corporation’s compliance program help stave off indictment? Or at least secure it more lenient treatment from the Department of Justice when resolving a case? DOJ has given fresh guidance on this issue for our...more

The Horror of Dracula and Internal Controls in International Locations, Part I

This Friday we celebrate the second in the Hammer Films horror series, which was actually its first offering, based on Count Dracula, entitled “Horror of Dracula”. It starred the famous Hammer Films horror movie two-some of...more

Healthcare industry compliance in a shifting world: putting it all together

Health industry clients face regulatory and enforcement challenges on multiple fronts. It can be difficult to prioritize and allocate resources properly when government agencies’ initiatives are constantly shifting. The...more

Information Security Training Master Class: Winning the Battle against Data Breaches, Malicious and Negligent Employees, and...

Information security has continued to play prominently in the news as this series has evolved. Just today AT&T announced a data breach. Home Depot and Jimmy John’s, also added to the list in the past month, are still...more

CFTC and NFA Require SD and MSP Risk Exposure Reports to Be Submitted Through WinJammer

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) and National Futures Association (NFA) announced that, effective September 30, swap dealers (SDs) and major swap...more

ISS Publishes Results of Annual Global Voting Policy Survey

On September 29, Institutional Shareholder Services (ISS), a leading proxy advisory firm, published the results of its 2014–2015 global voting policy survey. The survey, which, according to ISS, received more than 370...more

The General Counsel’s Role Before and After a Data Breach Incident

“It is often said that there are two kinds of companies out there — those that have suffered a data breach and those that will have one,” said Latham & Watkins partner Kevin Boyle. “So it makes a lot of sense to be prepared...more

Corporate and Financial Weekly Digest - Volume IX, Issue 39

In this issse: - ISS Publishes Results of Annual Global Voting Policy Survey - FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System - NFA Issues Notice...more

Business Litigation Alert: "When Employees Turn Into 'Hackers'"

Sometimes the Greatest Risk Comes from the Inside - Cybersecurity continues to be an issue that dominates the news. Much has been made of the cyber-risk US companies face from foreign countries and outsiders. However,...more

Federal Financial Regulators Issue Warning on ‘Shellshock’ Security Vulnerability

The Federal Financial Institutions Examination Council (FFIEC) recently issued an alert warning financial institutions of a security vulnerability nicknamed “Shellshock” in software commonly used in servers and other...more

With the Latest Workplace Violence, Is It Time To Review Your Workplace Safety Policies?

The travesty of the latest workplace violence – a shooting on September 23, 2014 at UPS’s Birmingham Alabama facility and the beheading at a Vaughan Foods plant in Oklahoma – is a reminder that all employers must be vigilant...more

Cliff Notes from the Joint OCR/NIST HIPAA Security Conference

As a service to our readers, we have distilled last week’s joint HHS Office of Civil Rights (OCR) and National Institute of Standards in Technology (NIST) conference, “Safeguarding Health Information: Building Assurance...more

Cyber Risk Insurance: Surging Demand and Evolving Coverage

Cyber risk insurers are doing a brisk business these days. Reports of data breaches abound, and risk managers are understandably looking to offload some of the risk through insurance. As a result, insurers are issuing new...more

How To Strengthen Your Ethics And Compliance Policy Management

People say that hindsight is 20/20. I’d say from my experiences its true. If only we could have 20/20 vision before an incident occurs, think of all the heartaches and headaches we could avoid. It would be especially helpful...more

What Questions CEOs and Board Members Should Be Asking Themselves About Tax Inversions [Video]

Partner and Chair of BakerHostetler's Tax Group, Paul Schmidt, discusses tax inversions. What CEOs and Board of Directors should be asking themselves?...more

SEC Announces $30 Million Whistleblower Award to Non-U.S. Resident

On Monday, September 22, 2014, the SEC announced that it expected to award between $30 and $35 million to a non-U.S. whistleblower who provided the SEC with information about “an ongoing fraud that would have been very...more

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