News & Analysis as of

Buying an FCPA Violation Mergers and Acquisition Risks [Video]

FCPA risks are significant when companies acquire other companies. The Justice Department and the SEC have imposed "successor" liability on companies for past bribery violations committed by an acquired company. Pre-closing...more

Trying Something Different – the Desktop Risk Assessment

One type of risk assessment can consist of a full-blown, worldwide exercise, where teams of lawyers and fiscal consultants travel around the globe, interviewing and auditing. However if there is one thing that I learned as a...more

FDA Issues Draft Guidance on 510(k)

The FDA issued a new draft guidance on July 15th which further explains how the FDA currently fails to protect consumers of medical devices and pharmaceutical drugs. It is important to remember that these sort of FDA-issued...more

The Swelling Tide of Fair Credit Reporting Act (FCRA) Class Actions: Practical Risk-Mitigating Measures for Employers

In This Issue: - Summary Of FCRA Obligations On Employers That Use Consumer Reports - Potential Liability For FCRA Non-Compliance - The Swelling Tide Of Class Action Filings - Mitigating Measures -...more

Bitcoin In The News: International Reports, California Makes It Legal

Virtual and digital currencies continue to be the focus of policy makers around the globe. In addition to new reports from international bodies addressing both the benefits and risks of the currencies, California...more

FHFA OIG Assesses Risks From Smaller Lenders And Nonbank Mortgage Companies

On July 17, the FHFA Office of Inspector General (OIG) published a report on risks to Fannie Mae and Freddie Mac (the Enterprises) related to purchasing mortgages from smaller lenders and nonbank mortgage companies....more

New York AG Reports that Data Breaches Cost New York Businesses over $1B Last Year

The current headline in data security is a just-released report from the New York Attorney General's Office (the "AG Report") announcing that the number of reported data breaches more than tripled between 2006 and 2013,...more

Emerging Markets: Opportunity, Risk, and What it Means for Brand Protection  [Video]

Monica Riva Talley, director at the intellectual property law firm Sterne, Kessler, Goldstein & Fox, P.L.L.C., discusses the opportunity and risk presented by emerging markets, and what it means in terms of a global brand...more

Risk Planning and Board Liability

Board members are in the hot seat, or to put it another way – they are in a hot kitchen. The question is whether they can stand the heat of the hot kitchen....more

Transparency and Human Trafficking: Is Your Company Prepared?

Companies increasingly face expectations that they will “know and show” that they are taking appropriate steps to manage the human rights impacts associated with their business activities. New transparency requirements on...more

Compliance in the C-Suite

The ongoing debate whether certain executives are “too big to jail” misses the most important trend in corporate governance – namely, that criminal conduct is rising in the C-Suite. Viewed from a broad perspective, since...more

FCPA Compliance and Ethics Report-Episode 72-interview with Michael Rasmussen [Video]

In this episode of the FCPA Compliance and Ethics Report, I interview Michael Rasmussen, the GRC Pundit. As the man who coined the phrase 'GRC' Michael is one of the country's top GRC experts. He talks about the recent OCEG...more

Four Reasons Why Employee Social Media Training Is Essential (Hint: It’s Not Just About Compliance!)

And before I forget, let’s make that effective social media training, shall we? Pam Moore wrote this great article “Social Media Policy & Governance: 17 Tips to Mitigate Social Business Risk.” It’s quite insightful and...more

$2.9 Million Jury Award For Texas Fracking Claim: Lessons for Energy Company Risk Managers

A jury in Dallas recently awarded $2.9 million to a Texas family in one of the first trials involving allegations that hydraulic fracturing caused nearby residents to suffer health problems and property damage. Although...more

Defining Corporate Governance: Decisions, Direction, Culture and Risk

When reading about corporate governance, it is hard not to get frustrated. So-called “experts” in the field provide little practical advice but are filled with platitudes that apply to corporate boards, senior management and...more

Guidance for Managing NEPA-Related Risks and Other Risks in Project Delivery - National Cooperative Highway Research Program...

In This Issue: - AUTHOR'S ACKNOWLEDGMENTS - GUIDANCE FOR MANAGING LEGAL RISKS IN THE NEPA PROCESS ..Early Identification and Assessment of Legal Risks ..Methods for Managing Legal Risks ..Legal Risk...more

Dealing with a Data Broker? Here's What you Need to Know

The FTC recently released its report, “Data Brokers: A Call for Transparency and Accountability.” The report is the result of a study of nine data brokers and provides legislative recommendations...more

The (Not-So) Hidden Risks of RIDEA Investment Structures

Many Real Estate Investment Trusts (REITs) have embraced the REIT Investment Diversification and Empowerment Act (RIDEA) structure for their senior housing asset investments. Non-REIT institutional investors sometimes employ...more

The NIST Cybersecurity Framework: Four Takeaways For The Energy Industry

On February 12, 2014, the Commerce Department’s National Institute of Standards and Technology (NIST) released its “Framework for Improving Critical Infrastructure Cybersecurity” (the “Framework”). Developed jointly by...more

For FCPA Compliance, Tone At The Top Key, Lack of Policies A Difficulty

The number of FCPA enforcement actions brought in recent years has declined. The SEC, for example, reports that in fiscal 2013 it brought 8 cases, compared to 10 in 2012 and 15 in 2011. Nevertheless, those who might be...more

A Prescriptive Guide To Third Party Risk Management

The recent examples of compliance program credits for Morgan Stanley and Ralph Lauren have demonstrated that, more than ever, an effective compliance program can protect a company from criminal indictment and generate bottom...more

From The Compact Model To The Luxury Model – Managing Your Third Party Risk

I am currently attending the Hanson Wade Oil and Gas Supply Chain Compliance conference in Houston. The event is excellent and the presentations have been ‘spot on’ for the nuts and bolts of how to do compliance. As the...more

Rise in Food Contamination Calls for Proactive Risk Management in 2013

Despite improvements in food safety over the last two decades, 2012 saw no shortage of recalls due to food contamination. For example, one Indiana farm recalled all cantaloupes from its 2012 growing season after the fruit was...more

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