Risk Management Compliance

News & Analysis as of

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

Social Media Offers Benefits, Compliance Challenges

With the rise of social media, compliance departments are facing a slew of new challenges. Indeed, social media use is growing at a markedly fast rate among companies, and its benefits are multi-faceted for a company’s image...more

New Guidance for Financial Institution Directors and Officers In Cybersecurity Preparedness

Earlier this summer, the Federal Financial Institutions Examination Council (FFIEC) released its highly anticipated Cybersecurity Assessment Tool (Assessment), which is designed to assist financial institutions in identifying...more

New Citywide Construction Fraud Task Force Promises Tough Enforcement

On August 5th, the Manhattan District Attorney (the "DA’s Office") announced the formation of a multi-agency Citywide Construction Fraud Task Force that will be spearheaded by prosecutors from the office. Its mission is...more

The BHP Case and Enforcement of The FCPA’s Internal Controls Provision

Ed. Note-today we have a guest post from Jean-Michel Ferat ,CPA, CFF is a Managing Director in the Washington D.C office of the Claro Group around his views on the BHP Billiton enforcement action. Much has been made in...more

The key to information governance success lies within the framework

There is no secret sauce to achieving information governance nirvana. The reality is someone must take ownership of an organization’s information governance program. The industry as a whole has been discussing organizations...more

How Healthy is Your Hotline? Key Takeways to Managing Your Third Party Call Center and Optimizing that Relationship to the Fullest

With more and more public companies engaging third party call centers to “check” the whistleblower program box (as they must), expectations for these call center are exceedingly high, while visibility into the day to day...more

RMP and General Duty Clause Enforcement Continues at EPA Region 1

As we reported last year, the U.S. EPA has stepped up its enforcement activity under the risk management provisions of the Clean Air Act (“CAA”), Section 112(r), focusing on both the Risk Management Plan (“RMP”) program rules...more

Dodd-Frank at 4: Where do we go from here?

Where do we go from here? As we mark another milestone in regulatory reform with the fourth anniversary of the enactment of the Dodd-Frank Act, it strikes us that although most studies required to be undertaken by the Act...more

Toshiba Scandal Underscores the Importance of a Speak-Up Culture

In what’s being called the most damaging event in the company’s 140-year history, Toshiba admitted this week to overstating its operating profit by $1.22 billion during the past several years. This staggering figure and...more

Your Questions: Let’s Talk Risk - A Q&A Session about How to Achieve a Risk-based Approach to Compliance Management

Risk is at the heart of every compliance program. But that’s sometimes easier said than done. In January 2015, Kwamina Williford, Partner at Holland & Knight; Chris Caron, Compliance Director at Kiewit; and Joe LeBas of...more

Legal Issues Business Leaders Need to Know in 2015: Top 10 Checklist

A compilation of time-sensitive and trending legal and regulatory issues that general counsels and business leaders should be aware of in 2015. Employers Should be Aware of Multigenerational Workforce Risk - For...more

New Whitepaper: Reasonable Steps to Protect Trade Secrets

Every company has trade secrets (so-called “crown jewels”)– confidential business and technical information – that if exposed, could result in lost sales, competitive advantage or the ability to further innovate....more

Rolling the Dice: Casinos, FinCEN and AML Compliance

FinCEN has many important responsibilities but one of its more interesting assignments is oversight of anti-money laundering compliance by casinos (and card clubs). Casinos are under increasing scrutiny these days for lax AML...more

The State of Anti-Bribery & Corruption Programs: Key Trends and Takeaways from Recent Research Report

Kroll and Compliance Week’s 2015 Anti-Bribery and Corruption Benchmarking Report, surveyed global compliance executives and revealed that, while compliance officers are aware of the risks of anti-bribery and corruption (ABC),...more

Global Risk and Compliance: Q&A with Katherine Peavy

CREATe is delighted to announce the addition of Katherine Peavy to our team of experts. Katherine is a global compliance executive with more than 15 years’ experience in China managing multicultural teams to implement...more

OCR Enforcement Trends

On April 27, 2015, the U.S. Department of Health and Human Services (HHS) Office for Civil Rights (OCR) announced a resolution agreement with Cornell Prescription Pharmacy (CPP) pursuant to which CPP paid a $125,000...more

The Sioux at Little Bighorn and Using Risk Going Forward

I recently wrote about the stupidity of General Custer and the defeat of his Calvary at Little Bighorn as a lead in for the failure to adequately assess and then manage risks in a Foreign Corrupt Practices Act (FCPA)...more

4 Key Benefits of Compliance Technology: How to Build the Business Case for Investing in Modern Compliance Technology

Let’s face it, we live in a technological world where we expect to get more intelligent information faster than ever before. Yet compliance functions are still spending a disproportionate amount of time collecting data with...more

Healthcare Law Update

Governing boards of health care organizations can greatly benefit from reading a recently released educational document that presents practical tips for board members responsible for overseeing their organizations’ compliance...more

Anti Bribery Compliance Tactics Learned Behind Bars | 6 Ways to Protect Your Front-Line Employees from Temptation (Part 1)

If you encountered Richard Bistrong at a cocktail party, your first instinct would likely be to comment on his fashionable glasses or his experience running marathons, rather than to ask about his time in prison. As Richard...more

Our Picks for the Top 10 Ethics and Compliance Articles You Don’t Want to Miss This Month

With so many articles available every month, it’s possible that a few got buried in either your inbox or the bowels of the blogosphere. Here are ten articles you don’t want to miss...more

Custer’s Last Stand and Risk Management

On this day in 1876 one of the greatest failures in risk management took place when Lieutenant Colonel George Armstrong Custer and his entire 7th Cavalry were wiped out at the Battle of the Little Big Horn. Custer had split...more

AML Compliance Expectations Unabated—Fines, Enforcement Actions and a Deferred Prosecution Agreement Against Banks, Money...

Why it matters - Three Financial Crimes Enforcement Network (FinCEN) orders, three sets of fines and asset forfeitures, a deferred prosecution agreement and one bank enforcement action demonstrate the resolve of the...more

Compliance: It’s All About The Data – It's Time for Compliance to Mature

“The most commonly reported information includes the number of employees trained, hotline statistics and an inventory of compliance risks. This information, while important, does not necessarily help the board and senior...more

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