Risk Management › Corporate Governance

News & Analysis as of May 22, 2013

Higher Education Oversight and Governance: Role of a College Board of Trustees

Four Key Board Responsibilities for Monitoring Risk and Compliance

by NAVEX Global on 5/13/2013

Introduction: High Pressure Regulatory Environment - Now more than ever, there is increased regulatory pressure on organizations – and their Boards of Directors – to create and maintain effective ethics and compliance...more

SEC Office of Compliance Inspections and Examinations Issues 2013 Exam Priorities

by Terrence Davis | Baker, Donelson, Bearman, Caldwell &... on 3/12/2013

On February 23, 2013, through the National Exam Program (NEP), the staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) published the program's examination...more

SEC Announces 2013 Examination Priorities

by Holland & Knight LLP on 3/7/2013

On February 21, 2013, the National Examination Program in the SEC's Office of Compliance Inspections and Examinations released its examination priorities for 2013 for investors and registrants. The priorities focus on areas...more

JP Morgan And Lessons Learned For Corporate Governance

by Michael Volkov on 3/1/2013

Last month, JP Morgan Chase took a giant leap in corporate governance when it released its internal report on the $6 billion loss scandal. A task force report, along with a board committee report outlined forward-thinking...more

OCIE to Target Adviser Payments for Fund Distribution, Funds with “Alternative” Strategies and New Advisers

by Jay G. Baris, Kelley A. Howes | Morrison & Foerster LLP on 2/25/2013

In an attempt to “increase transparency, strengthen compliance, and inform the public and the financial services industry about key risks,” the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its 2013...more

Doing Business In Italy - Step Up Your FCPA Compliance Now

by Thomas Fox on 2/18/2013

Former Italian Prime Minister Silvio Berlusconi is no stranger to scandal and controversial statements, but lately his words and actions seem to be providing cause for concern outside of the European Union....more

Canadian Coalition For Good Governance Releases 2013 Executive Compensation Principles

by Jamie Au | Dentons on 2/8/2013

The Canadian Coalition for Good Governance (“CCGG”) recently released its 2013 Executive Compensation Principles (the “2013 Principles”), replacing the previous version originally published in 2009. The original principles...more

Swap Clearing and the Commercial End User Exception: Corporate Governance and Risk Management Issues for Commercial Companies

by Juan Arciniegas, Anthony R.G. Nolan, Anh Tran | K&L Gates LLP on 1/18/2013

Central clearing of over-the-counter derivatives is a central pillar of the financial services reforms that are embodied in the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). The presumption...more

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