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Risk Management Corporate Governance

Soft Skills in Remediation: Part III – Communications with Stakeholders

by Thomas Fox on

Today I continue a five-part series on the soft skills a Chief Compliance Officer (CCO) needs to employ when working through the remediation component of a potential Foreign Corrupt Practices Act (FCPA) compliance violation....more

Soft Skills in Remediation: Part II – Project Timing

by Thomas Fox on

Today, I continue a five-part series on what a Chief Compliance Officer (CCO) needs to consider when working through the remediation component of a potential Foreign Corrupt Practices Act (FCPA) compliance violation. I am...more

Leadership Lessons from James Madison

by Thomas Fox on

I continue my leadership series based upon the lives of US Presidents by looking at leadership lessons from the fourth President, James Madison. Madison lived a life full enough for several people. He served as both a member...more

Wake Up and Mind Your Culture — Practical Approaches to Managing a Company’s Culture

by Michael Volkov on

Ethical culture is the flavor of the year these days. We are seeing more postings and articles about the importance of ethical culture, and even pushing the idea of measuring and monitoring culture....more

Leadership Lessons from Dunkirk

by Thomas Fox on

There are several leadership lessons which I believe can be learned from the British (and German) experiences at Dunkirk, which was a series of battles, campaigns and events that lasted from May 25, 1940 until June 4, 1940....more

Every CCO Needs Authority + Autonomy + Resources

by Michael Volkov on

Chief compliance officers are the rising stars in the corporate governance world. However, CCOs have to avoid complacency. CCOs have a lot more to accomplish — it is almost as if the profession has put its collective foot...more

Establishing an Effective Compliance Management System for Financial Services

by Pepper Hamilton LLP on

The CFPB has generated acute awareness of the term “compliance management system” (CMS) through its highly publicized consent orders. Since it began issuing orders in 2011, the CFPB has invariably cited “significant...more

Good-Bye to the Wichita Lineman – Know Your Values and Stay True to Them

by Thomas Fox on

Glen Campbell died yesterday. He was truly an American original. He grew up dirt poor, as a sharecropper’s son, near Delight (pronounced DEE-light), Arkansas and went onto to achieve worldwide fame. While many will remember...more

Evolution of Your Compliance Program

by Thomas Fox on

One of the most consistent themes from the Department of Justice (DOJ) regarding Foreign Corrupt Practices Act (FCPA) compliance programs has been continuous evolution. As far back as 2009, I heard Lanny Breuer say that your...more

Paths to social risk reform for the Hong Kong financial markets

by DLA Piper on

The Asia-Pacific business environment is rife with social risk, manifested as human trafficking, forced labour, modern day slavery, child labour, safety and work environment issues, and other labour rights violations. In the...more

Private Equity Watch - July 2017

by Ropes & Gray LLP on

With the year half over, it’s still too early to say whether it’s going to be a good one or a difficult one for the private equity market. The July edition of Private Equity Watch provides important perspective on the issues...more

Is Your Company At-Risk for a Government Enforcement Action?

by Michael Volkov on

For some reason, I have always believed that picking successful stocks should not be very difficult. Unfortunately, my record in the stock market does not back up my self-assessment. On the other hand, when it comes to...more

Clarence Darrow, the Scopes Monkey Trial and Leadership

by Thomas Fox on

Today we honor one of the ‘Trials of the Century’ from the 20th century, as on this day in 1925, the Scopes Monkey Trial ended with defense attorney Clarence Darrow giving one of his greatest closing arguments, asking for his...more

National Association of Corporate Directors Updates Cyber-Risk Oversight Handbook

by Hogan Lovells on

Earlier this year, the National Association of Corporate Directors (NACD) released an updated version of its Director’s Handbook on Cyber-Risk Oversight (Handbook). The updates add 16 pages of content to the previously...more

Financial Services Quarterly Report - Second Quarter 2017: Hong Kong Consultation on Guidelines on Online Distribution and...

by Dechert LLP on

The use of online platforms for distribution of financial products has become increasingly popular in Hong Kong. In May 2017, the Hong Kong Securities and Futures Commission (SFC) issued a Consultation Paper inviting comments...more

Breadth Matters: Building an Executive Leadership Team That Delivers

by JD Supra Perspectives on

An in-house perspective on diversity and leadership by Matt Fawcett, GC of NetApp....more

Keeping Your Airline IT Resilient - In light of new IT threats, airlines should revisit their BCDR arrangements

A number of major carriers have suffered high-impact IT events in the past several months. Estimates of losses in these cases have exceeded £100m. This is on top of (no doubt significant) remedial costs, reductions in share...more

A CCO’s Challenge: How to Convince a CEO to Embrace Compliance

by Michael Volkov on

A Chief Compliance Officer faces many challenges in designing and implementing an effective ethics and compliance program. If a CCO conducts appropriate due diligence before joining the company, he will know the challenges he...more

The Stoic's Guide to Compliance

by Thomas Fox on

One thing about successful Chief Compliance Officers (CCOs) and other compliance practitioners is they can take in severe news, keep calm and carry on. In a keynote speech to the SCCE Compliance and Ethics Institute, Jenny...more

Governance & Securities Law Focus: Latin America Edition - May 2017

by Shearman & Sterling LLP on

This newsletter provides a snapshot of the principal US and selected international governance and securities law developments during the first quarter of 2017 that may be of interest to Latin American corporations and...more

Sgt. Pepper’s at 50 – Leadership Lessons from the Faux Band

by Thomas Fox on

The 50th anniversary of the release of Sgt. Pepper’s Lonely Hearts Club Band is reason alone for celebration. But you can use the album, its themes and images to enhance your compliance regime. As it is also my favorite...more

Compliance into the Weeds-Episode 40, COSO ERM Framework Update

by Thomas Fox on

In this episode Matt Kelly and I take a deep dive into the revisions to the COSO ERM Framework, which were based on comments by practitioners. We consider the role of culture and risk, the integration of the COSO ERM...more

Operationalizing Compliance: Part V – Controller’s Office

by Thomas Fox on

This week I have engaged in a series on how a Chief Compliance Officer (CCO) or compliance practitioner might think about operationalizing a compliance program with other corporate functions and disciplines. I have been...more

Operationalizing Compliance: Part II – Breaking Through Obstacles

by Thomas Fox on

This week I am engaging in a week-long series on how a Chief Compliance Officer (CCO) or compliance practitioner might think about operationalizing a compliance program with other corporate functions and disciplines. I am...more

Data Privacy and Security – What is the Difference?

by Michael Volkov on

The terms “Data Privacy and Security” are being thrown around a lot lately. Just recently, England’s health services and medical facilities were shut-down and the target of a ransom note (demanding, of course, payment in...more

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