News & Analysis as of

Risk Management Audits

Corporate Fraud: How to Detect It and Put a Stop to It

Fraud costs companies trillions each year and the vast majority of those deceptions are detected purely by luck—only a very small percentage of frauds are found by auditors....more

Trust No One - Lunchtime Deals Should End in Intention, Not Retention

by Burr & Forman on

What You Can Learn about Vendor Management from the DocuSign Breach While some industries may get away with the “trust but verify” model, heavily regulated industries such as financial services have no such luxury. Trust...more

Creation of Roundabout and Operationalization of Compliance

by Thomas Fox on

Readers of this blog know of my love for progressive rock music and that my favorite prog rock group is Yes. You might understand how thrilled I was when the Wall Street Journal (WSJ), of all places, ran an interview with...more

DOJ Compliance Expectations Concerning Training, Internal Investigations and Audits (Part IV of IV)

by Michael Volkov on

DOJ’s Compliance Evaluation questions provide important indications of “new” trends and approaches to compliance functions and issues. Training - In the area of training, DOJ’s Compliance Evaluation reiterates DOJ’s...more

Issuer Reporting and Disclosure Remains Focus of SEC and Other Regulators

by Perkins Coie on

In a recent speech, SEC Enforcement Director Andrew Ceresney confirmed the SEC’s continued pursuit of investigations and enforcement actions relating to issuer reporting and disclosure, an area that remains a high priority...more

EPA Poised To Make Sweeping Changes to the Risk Management Program Rule

by Conn Maciel Carey LLP on

Chemical manufacturers and petroleum refiners are closely tracking the latest activities of a high-level agency working group formed pursuant to President Obama’s Executive Order (13,650) responding to the West, Texas,...more

"SEC Issues Concept Release Seeking Feedback on Business and Financial Disclosure Requirements"

On April 13, 2016, the U.S. Securities and Exchange Commission (SEC) issued a concept release seeking feedback on ways to modernize the business and financial disclosure requirements of Regulation S-K. The 341-page release...more

Human Resources Audits Prove To Be An Effective Risk Management Tool

One of the largest investments an organization makes is in its employees. As organizations grow and evolve, often Human Resources policies and procedures lag behind and are a last area of concern. Experience has repeatedly...more

EPA Proposes Significant Changes to the RMP Rule

by Liskow & Lewis on

On February 25, 2016, the EPA proposed revisions to its Risk Management Program (RMP) rule.  Click here to see the proposed rule.  The rule revisions are required by Executive Order 13650, which called for additional...more

EPA Ramps Up RMP Enforcement While Proposing Significant Revisions to RMP Rule

by Stinson Leonard Street on

The Environmental Protection Agency (EPA) is increasing enforcement of its Risk Management Program while at the same time proposing significant revisions to its Risk Management Plan Rule. Companies without Risk Management...more

Advanced Cyber Security Center Panel Explores Reasonableness in Cybersecurity

I had the pleasure of moderating an excellent panel at the Advanced Cyber Security Center’s annual conference on November 4. The panel’s topic for discussion was “What is Reasonable in Cybersecurity: Responsibility and...more

HHS’ Selection of Contractor Provides Latest Update on Impending Second Round of HIPAA Audits

by Reed Smith on

On October 27, 2015, a U.S. Department of Health and Human Services (“HHS”) official stated that the agency has hired FCi Federal, a provider of management and professional services to government agencies in Ashburn, VA, to...more

The Modern Slavery Act 2015

by Morgan Lewis on

The UK’s Modern Slavery Act is an effort by the government to end all forms of labour exploitation. The UK’s Modern Slavery Act 2015 aims to prevent all forms of labour exploitation and increase transparency of labour...more

Third Party Risk Management

by Michael Volkov on

There is something in a name. More people in the compliance industry, when referring to third-party due diligence, are labeling it “Third Party Risk Management.” I like it because it is more accurate....more

Implementing an Effective Third Party “Audit” Program

by NAVEX Global on

Explore new approaches to third party audits for a more effective, risk-aligned third party risk management program.    Compliance officers have been insisting on (and should continue to insist on) including third party...more

The Value of a Vigilant Internal Audit Program

by Michael Volkov on

I hate to write a negative column. It is contrary to my nature and perspective. It is easy to complain. It is far more difficult to come up with practical solutions....more

Changing Regulatory Regime Necessitates New Solutions To An Old Problem: 5 Elements Critical To An Anti-Fraud Compliance Program

by DLA Piper on

US government regulators have become more aggressive in their detection and enforcement of fraud against the government. One of the key tools they are using to combat such fraud is the False Claims Act. Most FCA cases are...more

The Mitford Sisters and the Compliance Audit

by Thomas Fox on

Deborah Cavendish died last week. She was the last surviving member of an extraordinary group of women known as the ‘Mitford Sisters’. They were six daughters of David Freeman-Mitford, the 2nd Baron Redesdale and the former...more

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

by Thomas Fox on

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

Corporate and Financial Weekly Digest - Volume IX, Issue 11

In this issue: - NASDAQ Launches Marketplace for Private Companies - SEC Proposes Rules to Enhance Oversight of Clearing Agencies - FINRA Proposes to Amend Rules 2210 and 2214 - CME Group Exchanges...more

The Federalist Papers And A Federated Approach To GRC

by Thomas Fox on

Today we celebrate one of America’s greatest political commentaries, The Federalist Papers. They were penned by James Madison, Alexander Hamilton and John Jay. They presented their three views on why the Federal Constitution...more

OCC Releases Guidelines on 'Heightened Expectations' for Large National Banks and Savings Associations

by Ballard Spahr LLP on

The Office of the Comptroller of the Currency (OCC) recently released proposed amendments to its Part 30 regulations, which reflect the agency's "heightened expectations" for large banks. That release, styled as an "Interim...more

OCC Releases Guidelines on ‘Heightened Expectations’ for Large National Banks and Savings Associations

by Ballard Spahr LLP on

The Office of the Comptroller of the Currency (OCC) last week released proposed amendments to its Part 30 regulations, which reflect the agency’s “heightened expectations” for large banks. That release, styled as an “Interim...more

Key Trends, Issues and Best Practices in Compliance 2013

by NAVEX Global on

NAVEX Global services the largest ethics and compliance community in the world. This survey is one example of our commitment to identify and communicate key trends and issues critical to business success. This independently...more

CFTC Approves Final Rules Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants

by Goodwin on

The CFTC approved final rules requiring enhanced protections afforded customers and customer funds held by futures commission merchants (“FCMs”). The rules require FCMs to adopt and enforce a risk management program,...more

34 Results
|
View per page
Page: of 2
Cybersecurity

"My best business intelligence,
in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up using*

Already signed up? Log in here

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.