Risk Management Compliance

News & Analysis as of

FCPA Compliance and Ethics Report-Episode 153-Doing Compliance in an Economic Downturn [Video]

The energy industry is in turmoil from the drop in the price of oil from $100 down to around $50 per barrel. Many energy companies have laid off up to 30% of their workforce. What can you do from the compliance perspective...more

Beyond the Foreign Corrupt Practices Act (FCPA)

When Ethical Boardroom invited me to write this article, I started thinking about issues that go beyond the ‘bolt-on’ model of anti-bribery compliance. For, as Alison Taylor, director of energy and extractives at BSR...more

How to Conduct Internal Investigations Outside the United States

Think of a U.S.-headquartered multinational when it receives an allegation of serious misconduct at one of its overseas operations. Maybe the company whistleblower hotline just got a tip that a secretary in the Buenos Aires...more

Anti-bribery compliance in the UK - check for 'red flags' on any acquisition

When one company acquires another, it has long been common practice for the purchaser to carry out commercial due diligence upon the target company. However, anti-bribery and corruption (ABC) due diligence is often overlooked...more

FCPA Compliance and Ethics Report-Episode 146-David Simon on Foley's Global Risk Management Platform [Video]

In this episode, I visit with David Simon, a partner at Foley and Lardner. We discuss Foley's recently recently Global Risk Management Platform. ...more

Seven Training Imperatives to Address Your Biggest Cyber Security Risk: Employee Behavior

One of your best defenses against a cyber attack? Your employees. Make sure they are trained on their role in protecting your organization. There are pros and cons to the digital world that we all live in. Pros include...more

Technology is Transforming Third Party Risk Management: Predicting the Future

The definition of “effectiveness” for a third party risk management program is quickly changing — how is your organization keeping up? I usually avoid predicting the future because you are bound to get something wrong. ...more

Compliance Responses to Economic Downturns: A Focus On The Energy Sector – Part Two

II. Doing Less with Less - The current economic downturn in the energy space seems to follow a pattern, with businesses’ exhibiting predictable Pavlovian responses. When oil prices drop precipitously, companies who are...more

A Front-Line View of Compliance: Q & A with Richard Bistrong

This week Maurice Gilbert, publisher of Corporate Compliance Insights and managing partner of Conselium Executive Search, interviews Richard Bistrong about Front-Line Anti-Bribery LLC - Q: Well Richard, this is now...more

Technology is Transforming Third Party Risk Management: Predicting the Future

I usually avoid predicting the future because I am often wrong. But in this case I’m going to make an exception. Here is my 100 percent, sure-to-be true prediction: technology is going to change how compliance professionals...more

A Few Takeaways from the OCIE Cybersecurity Examination Sweep Summary

On February 3, 2015, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert (the “2015 Risk Alert”) with summary observations from its recently...more

FINRA Issues Cybersecurity Practices Report And Investor Guidance

On February 3, the Financial Industry Regulatory Authority (“FINRA”) issued two publications concerning cybersecurity risks at financial firms. The Report on Cybersecurity Practices presents the results of FINRA’s 2014...more

International Trade: Sanctions and Export Controls - The Importance of Trade Compliance

Compliance with international sanctions and export control regulation is a significant issue for companies and their legal and compliance teams. Recent significant sanctions enforcement actions, large fines and resulting...more

2015 Trends: #10 Cybersecurity: A Risk that Needs to be on Your Ethics and Compliance To-Do List

The starting point for every ethics and compliance program must always be an analysis of the ethics and compliance risks faced by the organization. In that light, it’s important to listen to James Comey, Director, U.S....more

FCPA Compliance and Ethics Report-Episode 125, The Oscars and Compliance, Part II with Jay Rosen [Video]

In this Part II of my five part series on the Oscars and Compliance, Jay Rosen and I take a look at the pre-Oscar awards and consider how a language assessment should related to your overall compliance risk assessment. ...more

Just Say No, the Power of No and Compliance

What is the first thing that you think of about Former First Lady Nancy Reagan? Right up there for me is three things actually Just Say No, which was her campaign against not only drug abuse but also premarital sex in the...more

Reconciling Sales Strategy With FCPA Compliance

When Ethical Boardroom asked me to contribute an article on the Foreign Corrupt Practices Act (FCPA) and international sales strategies, I thought it might be interesting to include an organisational change dimension in...more

Bribery and Business Attitudes

Alison Taylor, Senior Managing Director, Control Risks, in a white paper, “Risk, An Organizational Perspective,” states “the traditional preventative approach to risk management is proving inadequate in the face of regulatory...more

Top 10 Topics for Directors in 2015

In this issue: - Strategic Planning Challenges - Cybersecurity - Assess the Impact of Advances in Technology and Big Data - Shareholder Activism - The Return of M&A - Risk...more

Building Your Third Party Due Diligence Checklist: The Right Pieces, Processes and Presumptions

A comprehensive approach to third party and vendor due diligence management is essential for any company conducting business globally. A strong due diligence program’s purpose is two-fold...more

Doing Business in India – Corruption Risks and Responses

Recently the US law firm of Foley and Lardner LLP and MZM Legal, Advocates & Legal Consultants in India jointly released a white paper, entitled “Anti-Bribery and Foreign Corrupt Practices Act Compliance Guide for U.S....more

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

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

Supplier Risk Management – Interconnected Processes

I recently read a book review in the Times Literary Supplement (TLS) by Archie Brown, entitled “One into fifteen”, where he reviewed the book “The Last Empire” by author Serhii Plokhy. Plokhy’s book is about the dissolution...more

DOJ’s Marshall Miller: You’re All FCPA Lawyers Now

Marshall Miller, the Justice Department’s principal Deputy Assistant Attorney General for the Criminal Division, has been heating up the compliance conference circuit in recent weeks. On September 17th, it was the Global...more

Effective Risk Management Needs More Ownership by Third Parties

Third-party arrangements continue to proliferate despite increased regulatory scrutiny meant to boost compliance with a variety of complex laws and regulations, making third-party risk management more important than ever....more

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