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Securities Science, Computers & Technology Franchise

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.

12 O'Clock High-Episode 67 Leadership Lessons from the Grant Presidency

by Thomas Fox on

In this episode, Richard Lummis and consider the leadership lessons from the Presidency of US Grant. The lessons include: 1. Reconstruction and the Civil Rights Acts, leading to the passage of the 15th Amendment; 2....more

Day 10 of One Month to 360 Degrees of Communication in Compliance- Limit Your Self-Reliance, Learn to Ask for Help

by Thomas Fox on

Many compliance professionals in the corporate world work long and hard to rise to the senior management level in their organizations. It takes subject matter expertise, hard work and sometime propitious good fortune to get...more

Across the Board-Episode 7, Brad Davis on the Board's Role in Data Security Oversight

by Thomas Fox on

In this episode I visit with data and IT security expert Brad Davis, CEO of EverSolve, a company specializing in data security. We discuss the role of the Board of Director's in data and IT security in both oversight and...more

FCPA COMPLIANCE REPORT-EPISODE 337, JAMES GELLERT ON ASSESSING 3RD PARTY FINANCIAL HEALTH FOR COMPLIANCE

by Thomas Fox on

In this episode, I visit with James Gellert, CEO of RapidRatings, a company which uses a financial dialogue to determine third party supplier health and viability. Gellert explains what supply chain resilience is and how...more

FCPA Compliance and Ethics Report-Episode 276-Regulator Evolution

by Thomas Fox on

In this episode Red Flag Group CEO Scott Lane and I discuss how regulators thinking on best practices compliance programs has evolved. ...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 7

by Thomas Fox on

In this podcast, I discuss the most vexing problem of a best practices compliance program, managing third party risk. ...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 4, risk assessments

by Thomas Fox on

In this 10-episode podcast series I take a look at the hallmarks of an effective compliance program. In this episode I review Hallmark 4-risk assessments....more

FCPA Compliance and Ethics Report-Episode 265-Managing Supply Chain Risk, Part I-with Jared Connors

by Thomas Fox on

In this episode I begin a multi-part series with Jared Connors on how to manage your supply chain risk. ...more

FCPA Compliance and Ethics Report-Episode 261-the Role Of HR in a Best Practices Compliance Program

by Thomas Fox on

This episode is the audio portion of a webinar I put on for the SCCE and in it I go into a deep dive on the role of HR in a best practices compliance program. ...more

Cybersecurity Preparedness & Response Alert: Effective Cybersecurity: The Evolving Regulatory Landscape for Investment Advisers,...

by Alston & Bird on

Cybersecurity has become a top concern for executives and boards across all sectors of commerce and critical infrastructure that rely on digital technologies—including financial services—and investment advisers, investment...more

China 20/20 Legal & Regulatory Developments - September 29, 2012

In This Issue: - 12th Five Year Plan for Financial Industry Development and Reform - 12th Five Year Plan for the Development of Cloud Computing in China - MOFCOM Establishes Administrative Office for Commercial...more

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Cybersecurity

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