Risk Assessment

News & Analysis as of

Why Are Companies Getting Sued Under the Video Privacy Protection Act? - Minimizing Your Company's Risk of a VPPA Lawsuit...

Plaintiffs' class action attorneys have filed a cascade of recent Video Privacy Protection Act (VPPA) suits against major brand names. These suits can present a significant exposure because the VPPA provides for statutory...more

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

Disclaimer: I am a crazy person. I read over 50 articles before I wrote this (WHO DOES THAT) and I’m not even sure how I got so sucked in. In short, information security is a big deal right now – and there are tons of ways to...more

FCPA Compliance and Ethics Report-Episode 88, Internal Controls for Third Parties Under the FCPA, Part I [Video]

In this episode 88 of the FCPA Compliance and Ethics Report, I visit with noted internal controls expert Henry Mixon on the types of internal controls needed for third parties in a FCPA compliance program. ...more

Does Your Company’s “Inadequate Compliance Program” Violate Securities Laws?

In a recent matter before the SEC, settlement of an FCPA claim with Smith & Wesson has raised some worrisome new issues for compliance officers. This settlement is noteworthy for two reasons: 1. Small and mid-sized...more

Third Parties and the Red Flags You Don’t See

Recently, I was reading a White Paper by Dun and Bradstreet titled “Anti-Bribery and Corruption Compliance for Third Parties: Is an off the shelf product enough?”. As the D&B paper points out, “the risks of insufficient...more

Disruption Protectors: Companies Can Take Three Steps to Minimize the Costs of a Supply Chain Interruption

Supply chains have grown increasingly complex. Each link in the chain presents the potential for a problem, and any disruption may cause costly consequences throughout the supply chain. Adopting a proactive solution now might...more

Fear of Heights? OCC Adopts Heightened Standards for Risk Governance of Large Institutions

Wasting no time in leaving summer behind, on September 2, 2014, the Office of the Comptroller of the Currency (OCC) adopted Final Guidelines, to be published soon in the Federal Register, establishing risk governance...more

OCC Finalizes Heightened Standards for Large Financial Institutions

On September 2, the OCC published its final guidelines to purportedly strengthen the governance and risk management practices of large financial institutions. The guidelines provide that covered institutions should establish...more

Cybersecurity Concerns Underpin Continued Push In The Regulatory And Legal Arenas

While Congress continues its aggressive push on cybersecurity legislation, regulatory oversight and legal efforts continue across the spectrum of industries effectively filling the gap in addressing now every day concerns...more

EPA Releases Final Risk Assessments for Three TSCA Work Plan Chemicals

The U.S. Environmental Protection Agency (EPA) released on August 28, 2014, final risk assessments for three Toxic Substances Control Act (TSCA) Work Plan chemicals -- methylene chloride or dichloromethane (DCM), antimony...more

How due diligence plays a role in anti-corruption compliance

With the increasing frequency and expanding scope of enforcement globally, organizations need to devote plenty of attention to anti-corruption due-diligence of third-parties that they engage. The value of due diligence is...more

Corruption, Risk and Business Strategy. Which one manages the others?

Since I stared writing about issues relating to compliance at the front line of international business, I have found myself looking more and more at the role of business strategy as a significant foundation of anti-bribery...more

Buying an FCPA Violation Mergers and Acquisition Risks [Video]

FCPA risks are significant when companies acquire other companies. The Justice Department and the SEC have imposed "successor" liability on companies for past bribery violations committed by an acquired company. Pre-closing...more

Bitcoin Regulatory Update: CFPB Issues Consumer Advisory Regarding Virtual Currencies, Begins Accepting Complaints

On August 11, 2014, the Consumer Finance Protection Bureau (“CFBP”) issued a consumer advisory warning customers of the potential risks associated with virtual currencies....more

Board Oversight of Cybersecurity

Cyber-attacks on U.S. companies have increased over recent years resulting in significant costs to companies. According to surveys, U.S. companies have experienced a 42% increase between 2011 and 2012 in the number of...more

Information Governance: On-the-Ground Perspectives and Practical Guidance

“Information Governance is: The activities and technologies that organizations employ to maximize the value of their information while minimizing associated risks and costs.” – Information Governance Initiative Annual Report ...more

Risk Assessments - the Cornerstone of Your Compliance Program, Part III

Today, I conclude a three-part series on risk assessments in your Foreign Corrupt Practices Act (FCPA) or UK Bribery Act anti-corruption compliance program. I previously reviewed some of the risks that you need to assess and...more

Trade Secrets – Protecting the (Corporate) Family Jewels

Disputes regarding trade secrets and corporate espionage are becoming perpetual fixtures in the news. One of the most common scenarios is that a key employee departs to join a competitor and his or her former employer quickly...more

Risk Assessments-the Cornerstone of Your Compliance Program, Part II

One of the questions that I hear most often is how does one actually perform a risk assessment? Mike Volkov has suggested a couple of different approaches in his article “Practical Suggestions for Conducting Risk...more

Blurred Lines

Mobile payments are taking off, and by 2017, consumers worldwide are likely to be using the technology to spend $700 billion or more annually, according to Forrester Research. But as technology companies look for ways to...more

Risk Assessments-the Cornerstone of Your Compliance Program, Part I

One cannot really say enough about risk assessments in the context of anti-corruption programs. Since at least 1999, in the Metcalf & Eddy enforcement action, the US Department of Justice (DOJ) has said that risk assessments...more

Antitrust Enforcement and Compliance Programs [Video]

The Department of Justice had a record year in criminal antitrust enforcement. Global enforcement and coordination continues to increase. As a result, global companies face significant antitrust risk from cartel...more

Trying Something Different – the Desktop Risk Assessment

One type of risk assessment can consist of a full-blown, worldwide exercise, where teams of lawyers and fiscal consultants travel around the globe, interviewing and auditing. However if there is one thing that I learned as a...more

Risks of BYOD

Q: BYOD (Bring your own device) is standard for our employees. What, if any, are the risks for BYOD when compared to company-provided devices?...more

Ill-equipped or Ill-researched? A letter to the editor of Fortune Magazine

There’s an irony in Fortune Magazine’s July 24, 2014, article “The dark, disturbing world of the visa-for-sale program.” The article accuses foreign EB-5 investors of being “ill-equipped (or disinclined) to assess the...more

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