Risk Mitigation

News & Analysis as of

The Rosenbaum Law Firm Review - November 2016

Things That Won't Help A Retirement Plan Sponsor Limit Their Liability. Yup, not going to help. When I was a teenager, we were told that eating oat bran would lower cholesterol and it didn't. We're told that...more

Five Things You Should Know for 2017 About Cross-Border IP Licensing and Insolvency Law

Brexit. Trump. The year 2016 can be characterized as one of unpredicted results and impending uncertainty. In June, the UK electorate voted to leave the European Union and in November, a tumultuous presidential campaign in...more

Doing the Two-Step: Prioritizing Risks and Allocating Resources

Chief compliance officers face imposing tasks on a daily basis. The tasks often look insurmountable and it is easy for CCOs to just turn away and find a more manageable set of tasks....more

Palm Oil Supply Chain Abuses Reported by Amnesty International: Steps to Mitigate Legal Risk

Amnesty International recently released a report alleging that supply chains for production of palm oil—a common ingredient in many consumer products—are tainted by forced and child labor. In the nearly 150-page report titled...more

Coordinating Third Party Due Diligence and Procurement

Third party risk management is easily one of the most challenging risks for compliance officers. With all the attention and hype surrounding third party risk, companies have marshaled attention and resources to mitigate the...more

Overtime Class Actions Gaining Traction in Canada: Is the Oil Patch Next?

On October 12, 2016, a former GoodLife personal trainer filed a class action lawsuit for $60 million in damages under Ontario's Class Proceeding Acts, 1992. The proposed class members include current and former non-managerial...more

FinCEN’s Beneficial Ownership Rule and Increased AML Burden

Compliance officers at financial institutions have made great strides in improving Know Your Customer (KYC) programs to focus on knowing their customers as a critical function in combating money laundering. As regulators...more

National security reviews: A global perspective — United States

Deals are generally approved, but a wide range of mitigation conditions may be imposed that can have a significant impact. The Committee on Foreign Investment in the United States (CFIUS), which is led by the US...more

Reducing M&A risks related to national security reviews

As national security reviews grow in impact, investors need to be mindful of potential adverse consequences resulting from such reviews International M&A deal advisors are acutely aware of the growing impact of national...more

False Claims Act Basics – Known Overpayment Becomes False Claim

The Federal False Claims Act (“FCA”) provides a very strong enforcement tool to the federal government. The FCA also provides the opportunity for whistleblowers to bring “qui tam” cases and collect a portion of the recovery...more

Into The Breach: How To Prevent Data Breaches And Respond To The Aftermath

Employers have a legal obligation to safeguard and protect a variety of information hosted in the workplace. Unfortunately, when it comes to workplace data breaches, the question is not if you will suffer one, but when....more

Regulators Diverge on How Best to Manage Growing Cybersecurity Risks

On October 19, the Federal Reserve Board, Federal Deposit Insurance Corporation, and Office of the Comptroller of the Currency (the Agencies) issued an advance notice of proposed rulemaking (ANPR) seeking to enhance cyber...more

Eight Ways Your Wine Business Can Avoid, Survive Unfair-Competition Actions

California counties in winemaking regions are increasingly using the state’s Unfair Competition Act (Business & Professions Code Section 17200 and 17500) to bring government enforcement actions against local wine industry...more

Cybersecurity Advice from President Obama

We’re writing this week to highlight some of the ways in which President Obama’s evolving views on cybersecurity can help guide corporate governance of data security risks. In an interview with Wired Magazine, the President...more

"Privacy & Cybersecurity Update - October 2016"

In this edition of our Privacy & Cybersecurity Update, we take a look at the FCC's new rules for broadband privacy, the FTC's new playbook for data breach response and notification, the NHTSA's voluntary guidance for...more

The Most Cost Effective Way You Can Protect Your Trade Secrets

I was giving a talk recently when a senior executive asked me, “If we have the time and resources to focus on just one thing to improve our information security, what would you suggest?”  I didn’t hesitate: “Train your...more

DOJ Toughens Stance on Certain Employment-Related Agreements Between Competitors - New Antitrust Guidance Threatens Criminal...

The Antitrust Division of the U.S. Department of Justice (DOJ) and the Federal Trade Commission (FTC) on Oct. 20, 2016, jointly released Antitrust Guidance for Human Resource Professionals, cautioning employers about...more

FTC Releases a Data Breach Response Guide For Business

Data breaches are fast becoming a fact of life. Experiencing a data breach is never a pleasant experience, regardless of how it happens – by accident, by criminal intent, or by system failure. Someone steals a company...more

SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies

The Securities and Exchange Committee (SEC) staff published Guidance Update 2016-04, concerning business continuity plans regarding companies within a “fund complex.” By “fund complex” the staff means an affiliated group of...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

EMIR – Revised List of CCPs and New Rules to Mitigate Risks in Non-Cleared OTC Derivative Transactions ESMA updated its list on 29 September 2016 of third-country central counterparties recognised to offer services and...more

The C-Suite’s Perspective on Cybersecurity and Liability

Recently, IBM surveyed more than 700 C-Suite executives in 18 industries and 28 countries about their views on cybersecurity. Ninety-four percent of those interviewed believe that their respective companies will experience a...more

Financial Services Quarterly Report - Third Quarter 2016: Managing the Compliance Aspects of Private Equity Investments

International business transactions can be subject to intense scrutiny due to the broad scope of the U.S. Foreign Corrupt Practices Act (FCPA) and the UK Bribery Act, in addition to other similar anti-corruption measures...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - The CFPB Publishes Final Rule for Prepaid Accounts - On October 5, 2016, the Consumer Financial Protection Bureau (the "CFPB") finalized comprehensive consumer protections for...more

Avoid Uber-Liability By Restricting Ridesharing Services On Campus

It’s 4:30 p.m., school soccer practice has just ended, and 11-year old Cynthia calls her mom to pick her up at school. Her mom tells Cynthia that she is busy at work but has requested an Uber to pick her up. Just as she gets...more

[Event] 2016 Long Term Care Legal Update: Insights and Best Practices for Risk Mitigation in Employment and Litigation Claims -...

Please join LeClairRyan at Charter Hall in Roanoke's Market Building for a complimentary midday presentation (lunch served) on strategies to combat today's legal concerns. Our attorneys will share insights to help you manage...more

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