Risk Mitigation

News & Analysis as of

Best in Law: Data Security and the Inside Job

If you are a business owner in the Inland Empire, what would you identify as the greatest threat to the security of your data? Is it hackers looking for credit-card numbers? Could it be foreign governments stealing industrial...more

Cloud Computing in the Financial Services Sector – the UK FCA Gets On-Message

It’s been a long wait but the UK’s financial services regulator, the Financial Conduct Authority (FCA), has published proposed guidance for UK-regulated financial services firms when using cloud computing solutions to...more

What you need to know about Hong Kong Competition Law (Part 6) - Practical Compliance with the Competition Ordinance

The implementation of the new Competition Ordinance (Chapter 619 of the Laws of Hong Kong) (the Competition Ordinance) on 14 December 2015 will mark the first time that Hong Kong has a general and cross-sector competition...more

Private equity firms: In the line of antitrust fire?

There was a time when private equity firms may have seen themselves as arms-length financial investors but regulators are increasingly holding them responsible for the behaviour of their portfolio companies. A new type...more

FFIEC Warns of Increase in Cyber Attacks Involving Extortion, Encourages Financial Institutions to Develop Response Programs

Last week, the Federal Financial Institutions Examination Council (FFIEC) issued a joint statement warning of an “increasing frequency and severity of cyber attacks involving extortion.” The statement warned that criminals...more

EB-5 Due Diligence Matters

Private placement offerings are an increasingly active part of the securities business. One especially complicated and emerging area of private placements is the EB-5 Investor Visa Regional Center Program. Under the current...more

Advanced Cyber Security Center Panel Explores Reasonableness in Cybersecurity

I had the pleasure of moderating an excellent panel at the Advanced Cyber Security Center’s annual conference on November 4. The panel’s topic for discussion was “What is Reasonable in Cybersecurity: Responsibility and...more

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

Senate committee examines unmanned aircraft system safety, privacy concerns

The Senate Appropriations Subcommittee on Transportation, Housing, and Urban Development and related agencies held an Oct. 28, 2015 hearing on “Integrating Unmanned Aircraft Systems (UAS) into the National Airspace System...more

Managing Legal and Reputational Risks in an Era of Enhanced Transparency

Companies face a range of new requirements and expectations calling for enhanced transparency regarding human rights-related risks in connection with their operations. Responsible compliance with both mandatory requirements...more

Dueling Records: Are Statements in Your 510(k) Putting Your Patents at Risk?

Laboratory developed test (LDT) providers, previously exempt from U.S. Food and Drug Administration (FDA) oversight, under a new FDA proposal, must now consider if their LDTs constitute moderate-risk (Class II) or high-risk...more

Focus on China - October 2015

Welcome to the third issue of Focus on China Compliance for 2015. According to the FCPA Blog’s October 2015 Corporate Investigations List, China leads the countries reported to be involved in FCPA investigations with 29...more

Tips for Going Global: Plan Before You Expand

Companies enjoying success in the U.S. often seek global expansion to gain strategic benefits from accessing new markets—new revenue potential, talent acquisition and increased brand awareness. Before replicating your...more

The Asia-Pacific Investigations Review 2016

It goes without saying that wrongful conduct in a corporate setting can have drastic and irreparable legal, commercial and reputational consequences for the individuals and entities involved. Internal investigations, which...more

New Whitepaper: Why Anti-Corruption Programs Fail: Turning Policies into Practices

CREATe.org Launches Whitepaper Outlining Top Ten Ways Anti-Corruption Programs Fail and Insight into How to Embed Compliance across an Organization - Guidance for companies seeking to mitigate anti-corruption risks...more

What the Recent NAIC Financial Condition Examiners Handbook Changes Mean for Insurers

On September 21, 2015, the National Association of Insurance Commissioners (NAIC) IT Examination Working Group adopted amendments to the IT section of the Financial Condition Examiners Handbook (“the Handbook”). The changes...more

Whistleblower Risk for Private Companies: Misperceptions About Whistleblower Protections Could Cost Private Companies

Sarbanes Oxley made it clear: publicly traded companies must protect whistleblowers from retaliation, or face large fines and legal actions. Yet a widely misunderstood ruling last year by the Supreme Court opened up...more

Cybersecurity and Risk Management: “Navigating the Digital Age: The Definitive Cybersecurity Guide for Directors and Officers”

A timely new resource for business executives, technology professionals, and lawyers alike is the newly-published Navigating the Digital Age: The Definitive Cybersecurity Guide for Directors and Officers from the New York...more

[Webinar] Corruption, Gifts and Hospitality: Best Practices in Training to Mitigate Risks - Oct. 29th, 12:00pm ET

The acceptance and provision of gifts, entertainment and hospitality is a significant corruption risk for companies. Are your marketing, sales and client relations activities in compliance with applicable legal standards?...more

Banking Regulators Adopt End-User Exemption for Swap Margin Requirements

New Margin Requirements - The Board of Directors of the Federal Deposit Insurance Corporation approved a final rule to establish margin requirements for swaps that are not cleared through a clearinghouse. This action is...more

Gavel to Gavel: Ambiguity poses risks

As a business owner, you’ve probably put together a team of skilled individuals to help effectively market your products and services by developing memorable and informative product labels, advertisements, and marketing...more

How to Be Heard: 5 Ways Compliance Officers Can Get Noticed by the Board, Other Executives, and Their Own Team

Even in today’s high-paced environment, compliance departments are too often viewed as a necessity somewhere along the lines of an insurance policy. You have to have one, sure, but the details don’t really matter all that...more

Article 29 Working Party Calls for Political Action

In a concise statement, the Article 29 Working Party (WP29), a consortium of European Data Protection Authorities (DPAs), released a position paper today about the landmark ruling of the European Court of Justice in...more

Big Data in Human Resources = Big Decisions for HR Pros

Big data, data analytics, talent analytics, HR analytics, people analytics. There are many names to describe the use of data science in human resources, and as the list grows, the promise of this technology continues to...more

Why Mitigation Should Be a Dirty Word: The Implications of a Compliance Industry Evolving Away From Risk and Towards Strategy

It used to be a compliance officer’s primary job could be boiled down to two words: risk mitigation. This was true of General Counsels, Chief Compliance Officers, Chief Legal Officers, and other C-level leaders....more

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