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A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous... more +
A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous thirty days. less -

Innovation in Compliance Episode 5: The Future of Disrupting Risk with Dan Torpey

by Thomas Fox on

Dan Torpey is a forensic accountant CPA and former auditor with over 30 years of public accounting experience. He’s a partner at Ernst & Young and the US leader of EY’s Investigation and Compliance services. With all those...more

Episode 33 -- Bitcoin, Cryptocurrency, and Compliance -- Interview of Matt Stankiewicz

by Michael Volkov on

Cryptocurrencies, including Bitcoin, are exploding on the marketplace. Cryptocurrencies are promising huge technological advances in our economy by relying on the new blockchain technology. Initial coin offerings raised...more

Anti-Money Laundering Obligations for Virtual Currency Companies

Virtual currency businesses are under scrutiny by U.S. anti-money laundering (AML) regulators. Earlier this year, U.S Treasury Secretary Steven Mnuchin emphasized that virtual currencies are subject to AML regulations. He...more

Enforcement and Litigation Strategies: Skadden’s Eighth Annual Pharmaceutical, Biotechnology and Medical Device Seminar

On March 15, 2018, Skadden hosted its Eighth Annual Pharmaceutical, Biotechnology and Medical Device Seminar in Palo Alto, California, which focused on U.S. enforcement issues faced by companies throughout the industry. The...more

Compliance into the Weeds-Episode 76, Facebook CISO and Ethical Behavior

by Thomas Fox on

In this episode, Matt Kelly and I being an exploration of the Facebook/Cambridge Analytica imbroglio. Today we consider the plight of soon-to-be former Facebook Chief Information Security Officer Alex Stamos who was seemingly...more

How natural language processing creates value in compliance

As a bridge between humans and computers, the use of natural language processing in compliance demonstrates how this branch of AI is adding value across the financial services industry....more

How Can We Spark Difficult Compliance Discussions?

In this six minute interview with Susan Côté-Freeman, Senior Network Manager, The Conference Board of Canada, we exchange perspectives on how business and compliance leadership can spark uncomfortable conversations among...more

SEC Reporting & Compliance and Corporate Governance Series

On February 13, 2018, Skadden hosted a webinar titled “ SEC Reporting & Compliance and Corporate Governance Series: Key Trends in Executive Compensation, Employment Law and Compensation Committee Practices.” Executive...more

SEC 2018 Examination Priorities Match Chairman Clayton’s Priorities as Reflected in the Agency’s Budget Request

by Dechert LLP on

This year’s examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) were announced on February 6, 2018, and cover five broad, albeit...more

Countdown to GDPR: Policies and Procedures

by Thomas Fox on

Today we are going to take a look at some of the basic policies and procedures that you need to have in place to comply with the new General Data Protection Regulation (GDPR) effective May 2018. I am joined in the exploration...more

Top five concerns with GDPR compliance

On May 25, 2018, the European Union’s (EU) Data Protection Regulation (GDPR) will require businesses around the world transacting business within the EU to protect the personal data and privacy of EU citizens....more

The Obvious Partnership — Compliance and Cybersecurity

by Michael Volkov on

Cybersecurity compliance, like the compliance profession, is rapidly growing. The forces pushing cyber compliance are two-fold: the ever-increasing and changing nature of cyber threats and harms, and the logical application...more

Everything Compliance-Episode 25, the One Year Wrap Up Edition

by Thomas Fox on

The top compliance roundtable podcast is back with a wrap up of the first year of the Trump Administration. Stayed tuned to the end for rants in this edition. 1. Is Jay Clayton who we thought he was? Matt Kelly takes a...more

Cybersecurity in the investment management industry

by Ropes & Gray LLP on

Paulita Pike, Ropes & Gray investment management partner, addresses privacy and cybersecurity challenges facing the investment management industry. ---------- Cybersecurity and data privacy are important topics for...more

Rabobank Coughs Up $368 Million and Pleads Guilty to Conspiracy to Money Launder and Obstruct Investigation

by Michael Volkov on

The Justice Department announced a guilty plea by a subsidiary of Rabobank, a Dutch global bank, to a conspiracy to violate money laundering laws and obstruct a regulatory investigation of Rabobank’s activities in California....more

Planning for the Perilous Consequences of a Data Breach

by Michael Volkov on

The nightmare scenario for corporate boards and senior executives revolves around the impact of a major data breach. We have seen this first hand with Equifax, Anthem Healthcare, and Target, as prime examples. In the Equifax...more

Across the Board-Episode 15, Joe Howell on Board Governance and Risk Oversight

by Thomas Fox on

One of the ongoing questions from members of Board of Directors is how to resolve the tension between oversight and managing. I recently had the opportunity to visit with Joe Howell, the Executive Vice President (EVP) of...more

Compliance into the Weeds-Episode 70-AI in a Hotline App

by Thomas Fox on

In this episode, Matt Kelly and I go into the weeds on the fascinating subject relating to the intersection of compliance and technology: AI and hotlines. Matt blogged on and podcasted with Scott LaVictor, CEO of Neighborhood...more

SEC’s OCIE Announces National Exam Program Priorities

by Dorsey & Whitney LLP on

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published its National Exam Program Examination Priorities. This year’s publication comes in the form of a brochure, much like the one issued by the...more

Governance & Securities Law Focus: Asia Edition - February 2018

by Shearman & Sterling LLP on

In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. Please see...more

Compliance into the Weeds-Episode 69, Steve Wynn, Corporate Governance and the Board of Directors

by Thomas Fox on

In this episode, Matt Kelly and I take a deep dive into the events which led to the resignation of Steve Wynn as the CEO and Chairman of Wynn Casinos for sexual harassment and misconduct. We consider how quickly the scandal...more

New York Cybersecurity Regulations Could Affect Foreign Banks

Financial institutions covered by the New York State Department of Financial Services’ (NYDFS) new Cybersecurity Requirements for Financial Services Companies must file their first annual certification by February 15, 2018....more

Day 31 of 31 Days to a More Effective Compliance Program-Levels of Due Diligence

by Thomas Fox on

I hope you have enjoyed this 31-day series on how to design, create and implement a best practices compliance program. These blog posts and podcasts over the past 13 months will form the basis of my next book The Complete...more

Day 29 of 31 Days to a More Effective Compliance Program

by Thomas Fox on

One new and different item was laid out in the Evaluation of Corporate Compliance Program, supplementing the Ten Hallmarks of an Effective Compliance Program from the 2012 FCPA Guidance. This was the performance of a root...more

Day 26 of 31 Days to a More Effective Compliance Program-Operationalizing Compliance Through Payroll

by Thomas Fox on

One of the new areas articulated in the Evaluation of Corporate Compliance Programs was around payments and payroll. For the both the compliance professional and the corporate payroll function, there is a significant role...more

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