Popcorn and Compliance: Episode 5 - Invisible Compliance: Lessons from The Invisible Man
Compliance into the Weeds: The NBA Betting Scandal - Lessons for the Compliance Professional
Compliance Tip of the Day - Sharing Information
Popcorn and Compliance: Episode 4 - The Mummy’s Compliance Lessons: Uncovering Hidden Risks and the Importance of Organizational Transparency
Culture Crafters - Ethics Culture Divide, Part 3 - Building and Sustaining an Ethical Culture in Organizations
AI Today in 5: October 21, 2025, The Oligarchy in AI Edition
Compliance Tip of the Day - AI Powered Internal Controls
Popcorn and Compliance: Episode 3 - Compliance in the Full Moonlight: Lessons from The Wolf Man
Compliance Tip of the Day - Design Centric Internal Controls
Compliance Tip of the Day - Monitoring and Improvement of Internal Controls
Compliance Tip of the Day - A Failure in Internal Controls
Compliance Tip of the Day - Rev Rec, Internal Controls and Compliance
Popcorn and Compliance: Episode 1 - Frankenstein’s Lab: Five Compliance Lessons: Ambition, Accountability and Organizational Culture
Compliance Tip of the Day - The Mock Audit
Data Driven Compliance - Fraud vs. Compliance Risk Assessments: Understanding Key Differences and Best Practices
Compliance Tip of the Day - The Integrity Audit
Compliance Tip of the Day - The Fraud Audit
Compliance Tip of the Day - The Culture Audit
Upping Your Game - Leveraging Behavioral Analytics in Compliance: A Proactive Approach
Compliance Tip of the Day - Why Compliance Professionals Should Not Overlook Board Oversight
When was the last time you stopped to ask yourself: How effective is our compliance committee, really? For busy compliance officers – especially those juggling multiple roles – a well-functioning compliance committee isn’t a...more
This snapshot summarises the key developments and issues which have arisen over the last 12 months and which UK-incorporated listed companies should have on their radar when preparing their annual report to be published in...more
Grounded in the OIG’s General Compliance Program Guidance and DOJ’s Evaluation of Corporate Compliance Programs, our immersive, three-and-a-half-day, classroom-style Healthcare Basic Compliance Academy equips compliance...more
Two recent FCA fines demonstrate the FCA’s willingness to hold senior executives of listed companies to account, including for market disclosures. The FCA will rely on a low bar to hold them 'knowingly concerned', pursue...more
Unlock the keys to effective compliance auditing & monitoring - Take a deep dive into auditing and monitoring, an important two-pronged approach to compliance program assessment and a core component of an effective...more
The U.S. Securities and Exchange Commission (SEC) is still pursuing accounting fraud. Despite the reduction in staffing in 2025 and the accompanying sinking morale, the SEC enforcement staff continues to investigate and...more
Authorities are increasingly requiring companies to demonstrate the effectiveness of compliance programs through data-driven evidence rather than narrative descriptions. Decisions on charging, remediation, and monitorships...more
The cornerstone of an effective compliance program is a good risk assessment, and the cornerstone of a good risk assessment is a good process to assess risk – from knowing when to do an assessment and who does it, to the...more
Two recent guilty pleas by former TD Bank employees — Oscar Marcel Nunez-Flores and Wilfredo Aquino — are a timely reminder that insider-enabled money laundering can defeat control frameworks if banks do not actively design...more
Strategies for proactive risk identification and mitigation - This virtual workshop takes a deep dive into risk assessment and management, an essential element of any compliance and ethics program. Whether your...more
Indonesia's reformed criminal law framework is now fully in force. Corporate criminal liability is consolidated and clarified, with broader attribution and clearer exposure for companies and decision makers. Enforcement...more
In today’s market, sponsor-backed companies face unprecedented challenges and opportunities as they consider accessing public markets. At the ICR 2026 Conference on Monday, January 12th, Ropes & Gray partners Craig Marcus and...more
El Documento Soporte en adquisiciones con sujetos no obligados a expedir factura o documento equivalente (DSNO), bien sea nacionales como las personas naturales o proveedores del exterior constituye un requisito fundamental...more
When discussing the litigation challenges deepfake technology poses, one typically thinks of difficulties protecting individual privacy rights, complications prosecuting anonymous actors, the lack of law regulating deepfake...more
The UK FCA has fined a capital markets adviser to an energy company £100,281 – and banned him from working in financial services – for insider dealing. The action illustrates the comparatively low threshold for what may...more
The Department of Justice (DOJ) appears not to have abandoned prosecution of non-cartel Foreign Corrupt Practices Act (FCPA) cases despite recently identifying foreign corruption and terrorist organizations as a top priority....more
On November 24, 2025, the Delaware Supreme Court affirmed dismissal of a books and records action, holding that stockholders failed to comply with the procedural “form and manner” requirements of Section 220 of the Delaware...more
Most of us have a process for closing out the old year and starting the new one. It’s natural to turn the page when starting a new year because it matches our biorhythms. Originally Published in The Daily Record - January...more
As boards prepare for the new year, a combination of recent Delaware decisions, corporate controversies, and shareholder litigation has brought renewed attention to corporate governance practices. This article is the first in...more
Giuliano v. Grenfell-Gardner, C.A. No. 2021-0452-KSJM (Del. Ch. Sept. 2, 2025) - This case dealt with Caremark claims alleging that former directors and officers of a pharmaceutical company failed to oversee regulatory...more
1) What OFAC enforcement is: The U.S. Department of the Treasury’s Office of Foreign Assets Control — better known as OFAC — is the agency that enforces U.S. economic and trade sanctions. In plain terms, OFAC enforcement...more
Connect with senior legal and compliance leaders later this month at ACI’s 19th Forum on the FCPA & Global Anti-Corruption Houston. Learn directly from enforcement officials, pressure-test your compliance approach with...more
In its annual message for audit committee members, the KPMG Board Leadership Center shares insights on eight key issues shaping audit committee agendas in 2026. Download PDF Share As the pace of change and complexity in...more
The U.S. Department of Justice continues an increasingly aggressive approach to enforcing cybersecurity requirements applicable to federal contractors and subcontractors, as we previously highlighted in a November client...more
Here’s the basics – and some nuances – of what you need to know about audit committee disclosure under Item 407(d) of Regulation S-K: 1. Audit committee charter: Yes, you need one....more