News & Analysis as of

Risk Management Corporate Governance

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

10 Questions to Operationalizing Compliance

by Thomas Fox on

A Harvard Business Review (HBR) article, entitled “Does Management Really Work?” by Nicholas Bloom, Raffaella Sadun and John Van Reenen, provided some succinct advice about what a business can do to improve its management...more

The ‘Way of Compliance' Adds Value Regardless of Who's in the White House

I am astonished there are still so many articles out there advising readers on how to establish the imperative for compliance. Nearly 15 years after the rise of compliance to an officer-level position, with significant...more

Farewell to Racehorse and Welcome to Project Success

by Thomas Fox on

Every trial lawyer in Texas has heard of him, a legendary trial lawyer with a legendary name, Richard ‘Racehorse’ Haynes; who died over the weekend at the age of 90. He took up the mantel of great Houston criminal defense...more

The Bank Next Door: Part I – Using Social Media to “Friend” Customers

This blog is the first in a series of articles which will examine the risks, rewards, innovative uses, and changing legal landscape of social media use by financial services institutions. Future blog articles will examine...more

Talking About Bribery in the Country Where I Bribed

I recently returned from a week in Amsterdam, addressing front-line compliance challenges, and attending several anti-corruption conferences. It was a surreal experience for me, for in 2003 I paid a “Dutch Agent approximately...more

The Downside of Sustainability Reporting

Not long ago, I wrote about the growth of sustainability reporting among public companies. (See this Doug’s Note.) It is now widely believed that effective sustainability reporting, also called “corporate social...more

OCC's Proposed Licensing Guidelines Treat Fintech Charters Like Any Other National Bank

by Pepper Hamilton LLP on

A fintech company considering a national bank charter will need to consider whether committing to a multi-year business plan is feasible in an industry that is constantly evolving, and in which the ability to respond quickly...more

Building Trust in an Organization as a Step to Operationalizing Compliance

by Thomas Fox on

Earlier this week I explored LRN Corporation’s (LRN) 2016 Ethics and Compliance Program Effectiveness Report (Report). One of the key findings of the Report was that if there was greater employee trust, the values of ethics...more

Getting to Know You, Getting to Know All About You — Business Buy-In to Compliance Functions (Part III of IV)

by Michael Volkov on

We all know that a compliance program without business buy-in is, by definition, an ineffective compliance program. The level of business support ranges from “mouthing” support to full-fledged embrace and ownership of...more

Bridging the Gap: Uniting Compliance and Financial Controls (Part II of IV)

by Michael Volkov on

A Chief Compliance Officer has a number of important relationships to attend to in the corporate governance landscape. A critical relationship needed to “operationalize” a compliance program is a partnership between a CCO and...more

Corporate Governance for Commercial Telcos

by Davis Brown Law Firm on

John Pietila presented this webinar on corporate governance issues to the NTCA - The Rural Broadband Association in February 2017. Please see full Presentation below for more information....more

Board Governance and Risk Oversight

by Thomas Fox on

One of the ongoing questions from members of Board of Directors is how to resolve the tension between oversight and managing. I recently had the opportunity to visit with Joe Howell, the Executive Vice President (EVP) of...more

"Directors Must Navigate Challenges of Shareholder-Centric Paradigm"

The corporate governance landscape has become more complicated, making it more difficult for directors to manage the often inconsistent demands of multiple constituencies while pursuing the fundamental fiduciary obligation to...more

Is it time for an incentive mine sweep?

As Neel Doshi and Lindsay McGregor share in Primed to Perform, “no topic raises passion like pay.” And as they reflect, “pay-for-performance is neither inherently good nor inherently bad. Depending on the circumstances, it...more

108 Results
|
View per page
Page: of 5
Cybersecurity

"My best business intelligence,
in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up using*

Already signed up? Log in here

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.