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Conversations on Goverance: Practical Insights for Public Company Leaders: Crisis Management: Key Questions

We live in a world full of high-stakes, high-profile corporate crises – environmental disasters, product liability issues, data breaches and government investigations, to name a few. No company is immune. Therefore, advance...more

Board-Level Risk Management – Bridging the Gap

The pendulum of board-level risk management has shifted. For many public companies, intentional risk management has evolved in recent years from virtually nonexistent to finance department driven (focusing on internal...more

The Federalist Papers And A Federated Approach To GRC

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

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

A Practical Guide to Establishing an Effective Crisis Management Plan

Irrespective of the size of a company, whether for-profit or non-profit, being able to respond to crisis situations quickly and effectively is important. Indeed, the welfare of an organization’s employees and protection of...more

SEC National Examination Program Outlines 2014 Priorities

On January 9, the SEC National Examination Program (NEP) published its examination priorities for 2014. The NEP’s market-wide priorities include (i) fraud detection and prevention; (ii) corporate governance and enterprise...more

White Paper: The Integrated Approach to Managing Policies

Every business venture has risk. How an organization accepts and manages that risk defines the organization’s potential for success. Organizations use corporate policies to set the boundaries for risk appetite while...more

The Importance of Risk Management for Rhode Island Nonprofits

The Problem - The explosion of nonprofits across the country in recent years has been accompanied by significant increases in employment and capital management in the nonprofit world. Rhode Island is no different in...more

Seven Reasons to Choose a Natively Integrated GRC Solution

Risk is a four-lett er word, especially to compliance offi cers and internal auditors. It’s one of the hardest aspects of business to manage effectively. Compliance leaders like you recognize this fact and have worked...more

Third Party Risk in a Global Environment

Most organizations engage with hundreds, if not often thousands, of third party vendors, suppliers, agents and business partners, creating a daunting and ever-expanding scope of risk. This risk arises from: 1....more

Corporate Risks: What Do Corporate Leaders Worry About?

This column may be another example of what I call — “ A profound grasp of the obvious.” ...more

Hiding Out: The Danger Of A Disconnected CCO

We all remember the fun we had as children playing hide-and-seek. It was a great game and those of us who are parents have passed on the rich tradition associated with that game. ...more

Corporate Governance Insights - Issue 2

With companies soon facing new enterprise risk and corporate governance requirements, this alert discusses whether companies are prepared for state implementation and outlines new NAIC actions relating to conducting an...more

Maryland Enacts Revisions to Insurance Acquisitions Disclosure and Control Act

With the 2013 Maryland General Assembly’s passage of House Bill 431, Maryland became the 16th state to enact new and revised standards and reporting requirements for insurers and their parents/affiliates that are part of an...more

Our Approach to Risk Assessment

Program and culture assessments - Assessments have long been recognized as having a critical impact on the effectiveness of ethics and compliance efforts. Best practice programs have often employed assessments – formal...more

Four Key Board Responsibilities for Monitoring Risk and Compliance

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

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

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

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

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

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

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

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

Seven Elements: Staying Aligned with the Federal Sentencing Guidelines

A best-practices approach provides a solid foundation by which to identify, communicate, resolve and remediate any fraudulent or unethical behavior, protecting your organization by remaining in-step with the US FSGO’s “seven...more

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