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Sarbanes-Oxley Compliance Corporate Governance

NAVEX

[Webinar] UK Corporate Governance Code (SOX) - Essentials and Practicalities - October 18th, 9:00 am - 9:45 am BST

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Gain valuable insights into UK Corporate Governance Code (SOX) - Are you a compliance professional looking to navigate the intricate landscape of UK Corporate Governance and the Sarbanes-Oxley Act (SOX)? Join our...more

NAVEX

[Webinar] UK Corporate Governance Code (SOX) - Essentials and Practicalities - October 17th, 2:00 pm - 2:45 pm BST

NAVEX on

Gain valuable insights into UK Corporate Governance Code (SOX) - Are you a compliance professional looking to navigate the intricate landscape of UK Corporate Governance and the Sarbanes-Oxley Act (SOX)? Join our...more

Skadden, Arps, Slate, Meagher & Flom LLP

Introducing a ‘SOX-Lite’ Regime in the UK: Learning From Experience in the US

Nearly two decades after the enactment of SOX, which was precipitated by several high-profile corporate and accounting scandals in the US during the late 1990s and early 2000s, UK and European regulators are grappling with a...more

The Volkov Law Group

The Growing Tension Between Compliance and Financial Controls

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Compliance professionals are used to internal struggles for influence and resources.  Chief compliance officers have devoted years and years to justifying the need to elevate and empower the compliance function.  For years,...more

The Volkov Law Group

Compliance Understanding of Business Processes

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Compliance understanding of business processes is a critical part of understanding internal controls and a company’s risk profile.  Compliance officers are adept in identifying and assessing risks.  In doing so, a compliance...more

The Volkov Law Group

Auditors, Lawyers and the Lack of “Independence” — Bias and Financial Incentives

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We are surrounded by bias in a variety of contexts –  news, politics, books and Internet information.  Given the overwhelming amount of information, some find comfort in information supplied by sources with a bias.  We have...more

Thomas Fox - Compliance Evangelist

Talent Mix: Maximizing Your Program’s Reach with Diverse Skillsets

Ed. Note-We welcome back Troy McAlister with another guest post. Troy brings 20 years of experience at both public and private companies, in public accounting and in a variety of industries. Troy has experience in...more

The Volkov Law Group

Companies and Change: A CCO Challenge

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Corporations are slow to change. Unless forced by government prosecutors or regulators, companies inherently resist change, even when such changes can make a business more profitable. ...more

Mitratech Holdings, Inc

Reduced Cost and Enhanced Impact: Embedding Compliance in BAU

Compliance management has moved from being a nice to have, to an absolute need to have. For many organizations, it is part of business-as-usual (BAU). The scale and scope of compliance frameworks across the world have grown,...more

The Volkov Law Group

What Happens When a CFO Fails to Listen to the CCO?

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Chief financial officers are powerful players in the corporate governance landscape. CFOs play a critical role in the management and oversight of the company’s internal accounting controls. Sarbanes-Oxley lifted the...more

NAVEX

Whistleblower Hotlines: Still a Vital Tool

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Recently the chief compliance officer of a global company asked me: does a company need a telephone-based whistleblower hotline anymore? In our all-technology, all-the-time world, could a company phase out telephone hotlines...more

The Volkov Law Group

The “New” Face of Corporate Misconduct

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As we look across the corporate governance landscape and focus on the spikes of corporate scandals, I started to wonder if there was any pattern or trend to the nature of corporate scandals....more

Thomas Fox - Compliance Evangelist

The Evolution of Compliance: Structural Changes Which Led to Compliance 2.0

If there was one theme from Compliance Week 2016 it was the continued evolution of the Chief Compliance Officer (CCO) role and the compliance profession. Long gone are the days when someone is sent over from a legal...more

Thomas Fox - Compliance Evangelist

Compliance at the Tipping Point, Part V – Protection Afforded From a Compliance Program

Today, I wrap up my series on why I think compliance is at the Tipping Point. However as it is a Friday in October, I continue my tribute to the Man in the Shadows, producer Val Lewton, whose films for RKO had some of the...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

The Volkov Law Group

Washington Politics and Compliance

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Consider this posting a warning to everyone in the corporate governance field. I am not known for being a chicken little and screaming “the sky is falling, the sky is falling.” I tend to be a realist when it comes to politics...more

WilmerHale

SEC Plans Concept Release on Audit Committee Disclosures

WilmerHale on

The Securities and Exchange Commission plans to issue a concept release in early 2015 addressing possible changes in the audit committee disclosures in proxy statements. SEC Chair Mary Jo White disclosed this plan at the...more

Thomas Fox - Compliance Evangelist

Board of Directors and FCPA Oversight – An Internal Control Under SOX, Part II

In Part I of this two-part post regarding a Board of Director’s Role in Foreign Corrupt Practices Act (FCPA) oversight from the internal controls perspective, I reviewed how a Board might have independent liability for its...more

Troutman Pepper

Counsel to the Company: A Framework for Corporate Governance

Troutman Pepper on

As a threshold matter, counsel must identify, and remain clear as to, the identity of its client, which may be the company or a subsidiary, the Board or Board committee, or one or more executives. The identity of the client...more

The Volkov Law Group

Are Ethical Companies More Profitable? (Part II Of IV)

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Forgive me for starting with a rhetorical question and for another in my series of profound grasps of the obvious. The answer, as we all know, to the posed question is a resounding yes. Without getting into the...more

Pillsbury - Global Sourcing Practice

What Does the SOX Say?

Any negotiation for cloud and outsourced services undoubtedly ends up in a debate over what audits are appropriate, what are required, and who will pay for them. With numerous stakeholders, the business owner is often left...more

The Volkov Law Group

The Importance Of A Board Compliance Committee

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It is not every day that I can report on a new governance innovation which is being rapidly embraced and implemented by companies. It may be one of the most significant corporate governance developments in the last five...more

The Volkov Law Group

Five Steps To Improve Corporate Governance

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It has been ten years since Sarbanes-Oxley was enacted. No one can argue that Sarbanes-Oxley eliminated the problem of corporate malfeasance....more

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