News & Analysis as of

Internal Audit Functions

FCPA Compliance: Automate and Audit Third Parties (Part IV of V)

by Michael Volkov on

Third-party risk dominates the anti-corruption compliance landscape. And for good reason – companies do not exercise significant control over their third parties, at least in comparison to company employees. ...more

Anti-Corruption Enforcement: Analyzing the Enforcement Approaches of the US, the UK and France

by Bryan Cave on

Anti-Corruption enforcement is a top priority in France, the UK, and the US. Each of these countries has armed its enforcers with the enforcement tools necessary to investigate and prosecute corporations and individuals. Join...more

Do Good Audits Exist? Minimizing Damages in FLSA Cases

by Fisher Phillips on

It's tax time, and perhaps the only thing worse than completing your tax returns is finding out that you're being audited. Common responses to undergoing an audit may involve gnashing of teeth, pulling of hair, and other...more

Anti-Corruption Regulation Survey of 41 Countries 2017–2018

by Jones Day on

Welcome to the 2017-2018 edition of the Jones Day Anti-Corruption Regulation Survey. In 2017 and 2018 to date, there has continued to be an increasing awareness among multinational companies of the significance of...more

Foreign Corrupt Practices Act Requires More Than a Policy

by Dorsey & Whitney LLP on

The recent settlement agreement between Kinross Gold Company and the Securities and Exchange Commission is a reminder to Canadian cross-listed companies that it is not enough to adopt a parent-company level anti-corruption...more

Operationalizing Compliance Through Management of Third-Parties

by Thomas Fox on

If you do not manage the third-party relationship it can all go downhill very quickly and you might find yourself with a potential FCPA violation. Now the DOJ has explicitly adopted this approach as a key determination of...more

Internal Testing and Monitoring of a Compliance Program

by Michael Volkov on

Compliance is a dynamic subject and a profession that “never sits still.” Compliance professionals are always developing new ideas, strategies and approaches to solve problems, and increase efficiency and effectiveness. It...more

Kinross-Lessons Learned on Internal Controls and Internal Audit

by Thomas Fox on

Yesterday the Securities and Exchange Commission (SEC) resolved a Foreign Corrupt Practices Act (FCPA) enforcement action involving Kinross Gold Corporation (Kinross). ...more

Registered Firms: Annual Compliance Obligations—What You Need To Know

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular...more

Iceland’s Pay Equity Law: The Start of a New Approach?

by Foley & Lardner LLP on

Iceland has been touting gender pay equity legislation as a short-term goal since early last year. So it is no surprise that the country’s new law — which mandates pay equity for males and females – went into effect a few...more

II-25 – Top 10 New Year’s Resolutions for Employers in 2018

by Cozen O'Connor on

From federal agency changes to anticipated developments in sexual harassment, paid leave, overtime, and marijuana use, this episode of Employment Law Now provides ten issues that employers should resolve to understand in the...more

FMLA FAQ: If an Employee Racks Up Both FMLA and Unexcused Absences, Can He Be Terminated?

by Franczek Radelet P.C. on

Here’s a puzzle for you. How would you handle it? Mary Beth is a nurse for a local hospital and has been diagnosed with cancer and asthma. 1. She is certified for FMLA leave for her cancer and asthma; 2. She incurs...more

I-19 - Part 2 of Interview on Conducting Internal Pay Equity Audits

by Cozen O'Connor on

Michael Schmidt's latest episode provides the second of his two-part interview with David Cohen on conducting internal pay equity audits....more

I-18- DC Update on Joint Employer and OT Issues, and Part 1 of an Expert Interview on Pay Equity Audits

by Cozen O'Connor on

This episode of Employment Law Now provides an update on current DC initiatives to change joint employer and overtime exemption standards, as well as Part 1 of a two-part interview with a leading expert on conducting an...more

CCOs and CFOs: Bringing Everyone Together

by Michael Volkov on

Chief compliance officers are politicians and have to possess great interpersonal skills. They have to “get along” and persuade key constituencies — most especially their business partners – to commit and devote time and...more

AB 450: California’s Law of Unintended Immigration Consequences

by Seyfarth Shaw LLP on

Seyfarth Synopsis: California’s new law, Assembly Bill 450, signed by Governor Brown on October 5, and effective January 1, 2018, imposes several new immigration-related duties on California employers and the potential for...more

Have you started auditing your contracts with your service providers that handle EU personal data? UK Information Commissioner’s...

Many companies have started the potentially lengthy process of auditing their service provider contracts to make sure that they comply with the requirements of the General Data Protection Regulation, which comes into force on...more

Preliminary Planning for the 2018 Proxy Season

Rule 14a-21(b) requires a say-on-pay frequency vote every six years. Many issuers included a frequency vote in their 2017 proxy because they were subject to the initial rules when they became effective for shareholders’...more

Day 8 of One Month to More Effective Continuous Improvement-the Culture Audit

by Thomas Fox on

What is organizational culture? Eric Feldman, SVP at Affiliated Monitors has said it comprises the mission, vision and values of an organization. A similar way to consider it might be as a company’s values, visions, norms and...more

Don’t Let Data Walk Out the Front Door: 7 Security Measures for Preventing Data Loss When Employees Leave

by Exterro, Inc. on

With all the news surrounding data breaches and information leaks, it’s easy to overlook the fact that the number one path sensitive/confidential information illegally enters the public domain is when employees leave their...more

Evolution of Your Compliance Program

by Thomas Fox on

One of the most consistent themes from the Department of Justice (DOJ) regarding Foreign Corrupt Practices Act (FCPA) compliance programs has been continuous evolution. As far back as 2009, I heard Lanny Breuer say that your...more

The Importance of Compliance Program Audits

by Michael Volkov on

Chief compliance officers spend a significant amount of time comparing their compliance programs with other companies’ programs. CCOs often find solace when benchmarking their respective programs against other companies’...more

CCOs and Resources: Put Your Money Where Your Mouth Is!

by Michael Volkov on

The compliance profession is enjoying its moment of triumph. Chief compliance officers are earning substantial salaries and rewarded with high-level positions in the C-Suite and significant influence. CCOs are the hot...more

Ensuring Compliance with Controls

by Michael Volkov on

Let’s start with some basics – a public company is required to implement a set of internal controls. A compliance program is a critical part of a company’s internal controls. A company’s compliance program is only as...more

Day 1 of One Month to Better Investigations and Reporting-Introduction to Investigations and Internal Reporting

by Thomas Fox on

The call, email or tip comes into your office; an employee reports suspicious activity somewhere across the globe. That activity might well turn into a Foreign Corrupt Practices Act (FCPA) issue for your company. As the Chief...more

101 Results
|
View per page
Page: of 5
Cybersecurity

"My best business intelligence,
in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up using*

Already signed up? Log in here

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.