News & Analysis as of

Corporate Governance Internal Controls

Fenwick & West LLP

The CrowdStrike Ripple Effect: Ongoing Reporting Implications for Public Companies

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Companies impacted by CrowdStrike’s defective software update should consider the following long-term reporting implications...more

Thomas Fox - Compliance Evangelist

Looking Back on 9/11: John Lee Dumas – I Knew I Was Going to War

In 2021, I did remembrance of 9/11 with a podcast series and accompanying blog post series featuring the personal stories of persons in the compliance field with their thoughts about what the date of 9/11 meant to them, how...more

Thomas Fox - Compliance Evangelist

Bank of America’s Corporate Culture Crisis: Part 5- A Case Study for Compliance

Compliance professionals constantly seek to understand how systemic issues within corporate hierarchies can lead to severe consequences. The recent revelations about Bank of America’s (BoA) persistent workplace culture...more

Steptoe & Johnson PLLC

New York Federal Court Refuses to Extend Accounting Controls Requirements to Cybersecurity Controls

Section 13(b)(2)(B) of the Securities Exchange Act of 1934 requires public companies to “devise and maintain a system of internal accounting controls.” In a recent opinion, a New York federal court rejected the Securities...more

Skadden, Arps, Slate, Meagher & Flom LLP

Takeaways From the Dismissal of SEC Claims Against SolarWinds and Its CISO

The U.S. District Court for the Southern District of New York has dismissed many of the Securities and Exchange Commission’s (SEC’s) claims against software development company SolarWinds and its chief information security...more

A&O Shearman

Judge dismisses most of SEC’s suit against SolarWinds over cybersecurity disclosures

A&O Shearman on

On July 18, 2024, U.S. District Judge Paul Engelmayer of the U.S. District Court for the Southern District of New York issued a comprehensive 107-page opinion that may have significant implications for the Securities and...more

Society of Corporate Compliance and Ethics...

For better or for worse: Is your (non) compliance contagious?

Wouldn’t you like your compliance program to be as infectious, contagious, and as long-lasting as COVID-19? Forgive the analogy, but every compliance officer aspires to see their diligent efforts in establishing and...more

Torres Trade Law, PLLC

Forced Labor Due Diligence and Annual Reporting Requirements: Is Your Company in Compliance in Your Jurisdiction?

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The use of forced labor, child labor, or modern slavery practices (collectively “forced labor”) in supply chains is not a new problem in the international trade world; however, many companies remain unaware of forced labor...more

The Volkov Law Group

Episode 331- NAVEX State of Risk and Compliance Programs

The Volkov Law Group on

NAVEX delivers quality studies and important insights on ethics and compliance topics. In its 2024 State of Risk & Compliance, NAVEX provides a comprehensive report on current trends and practices involving risk and...more

Society of Corporate Compliance and Ethics...

What the Board Should Be Asking About the Compliance Program

"What else should the board be asking about the compliance group?” It’s a good question in general and the tile of a session at the SCCE Compliance & Ethics Institute, which will be held September 22-25, 2024 in Grapevine,...more

Society of Corporate Compliance and Ethics...

Understanding the “G” in ESG: The critical role of compliance

Octavia Butler, a pioneering American writer, once wrote: “There is nothing new under the sun, but there are new suns.” Can this analogy also be applied to the concept of environmental, social, and governance (ESG)? While...more

Society of Corporate Compliance and Ethics...

The importance of explaining why

Writing, implementing, and enforcing strong compliance-related policies is critical to any compliance and ethics program. So, why do so many compliance failures occur due to breakdowns in internal controls?...more

Thomas Fox - Compliance Evangelist

Design-Centric Internal Controls: The Foundation for Compliance Excellence

The dynamic world of compliance is continually evolving. New regulations, emerging technologies, and changing market conditions demand that organizations remain vigilant and proactive in their compliance efforts. One crucial...more

Holland & Knight LLP

SEC Expands Scope of Internal Accounting Controls in Cybersecurity Breach Settlement

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The SEC continues to expand its cybersecurity enforcement authority to include allegations that a company's failure to monitor its managed security service providers (MSSP) amounts to violations of federal securities laws....more

Thomas Fox - Compliance Evangelist

AI in Compliance Week: Part 3 – Embracing AI-Powered Internal Controls

Integrating artificial intelligence (AI) into internal controls is pivotal in the ever-evolving corporate governance landscape. We have closely followed the discussion around this emerging trend and the insights from industry...more

Health Care Compliance Association (HCCA)

Explore the how and the why

Anytime a compliance violation occurs—or even a breakdown in compliance controls that doesn’t ultimately result in noncompliance—the remediation process takes center stage. And this is where questions of how and why are...more

White & Case LLP

New UK Corporate Governance Code – getting ready for the changes

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On 22 January 2024, the Financial Reporting Council (FRC) published its much-anticipated revisions to the UK Corporate Governance Code (the Code) which was followed on 29 January 2024 by revised guidance on the Code. In this...more

Society of Corporate Compliance and Ethics...

Don’t be afraid

A recent issue of SCCE’s Corporate Compliance Weekly News contained a link to a startling report I was not previously familiar with. An investigation by the U.S. Coast Guard found numerous instances of sexual assault spanning...more

Thomas Fox - Compliance Evangelist

Transforming a Corporate Culture in Crisis: Lessons from Boeing

There has not been a company which has had a run of worse publicity in 2024 than Boeing. Unfortunately it has been self-inflicted. I recently participated in a webinar with Sam Silverstein on what Boeing can do to try and...more

J.S. Held

INDEPTH FEATURE: Corporate Fraud & Corruption 2024

J.S. Held on

To what extent are boards and senior executives in your country of focus taking proactive steps to reduce incidences of fraud and corruption from surfacing within their company? Over the past several years, there has been...more

Latham & Watkins LLP

Key Regulatory Updates for Hong Kong Listed Companies - January/February 2024

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The updates include a report from the Stock Exchange of Hong Kong Limited on review of issuers’ annual reports, a summary of private reprimands, and disciplinary actions....more

Society of Corporate Compliance and Ethics...

[Virtual Event] ESG and Compliance Conference - June 18th, 8:00 am - 5:00 pm CT

Achieve your ESG goals in 2024 - Environment, Social, and Governance (ESG) is a top priority for organizations of all types and sizes, and it the compliance team is a key factor in the ESG equation. Much like regulatory...more

Holland & Knight LLP

Aumentan las sanciones por incumplimiento del SAGRILAFT y PTEE en empresas Colombianas

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Dada la relevancia que actualmente está obteniendo la prevención de los riesgos y el cumplimiento normativo en el desarrollo de los negocios, la Delegatura de Asuntos Contables y Económicos de la Superintendencia de...more

FordHarrison

EntertainHR: Leah’s Lawsuit: “Sober Curiosity” and its Impact on Workplace Culture

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Whether you’ve noticed it through the media or in your own circle of friends, it’s no secret that the consumption of alcohol has been losing its popularity, and the idea of being sober or “sober curious” is trendy. Of course,...more

StoneTurn

Inside The Fraud Lab Podcast: Dave Burroughs on Insider Risk

StoneTurn on

What is insider risk, and how can organizations mitigate threats to their business? In this episode of Inside the Fraud Lab, Dave Burroughs breaks down how insider risk manifests, what red flags to look out for, and the role...more

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