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Risk Assessment

Using AI in Compliance: Going Forward – Part IV

by Thomas Fox on

Over the past few blog posts, I have been considering the use of artificial intelligence (AI) to make compliance more robust in the three prongs of prevent, detect and remediate. ...more

Investment Services Regulatory Update - February 2018

by Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

CFIUS and China: Separating Fact from Fiction ?????:??????????????

No, the Committee on Foreign Investment in the United States has not put a halt to acquisitions of U.S. companies by China-based purchasers. ??????????????????????????????????? Three recently cleared transactions...more

Using AI in a Compliance Function – Part III, Implementation

by Thomas Fox on

I am exploring the use of artificial intelligence (AI) to make compliance more robust in the three prongs of prevent, detect and remediate. This series is based upon an article in the Harvard Business Review (HBR), entitled...more

NY DFS Regulation: Certify Your Compliance by February 15 and Assess Your Risk by March 1

by King & Spalding on

The New York Department of Financial Services' (DFS) cybersecurity regulation (DFS Regulation), which took effect on March 1, 2017, imposes significant requirements on financial services companies doing business in New York....more

Total Brand Care Q&A – Product labeling and packaging in Europe

by Hogan Lovells on

Hogan Lovells Total Brand Care is our firmwide holistic approach to creating, commercializing and protecting our clients’ most valuable asset – their brands. Creative product labeling and packaging can help promote and add...more

Plan sponsors need to Google Their TPA’s Principals

by Ary Rosenbaum on

I believe in the idea of redemption, that people who make mistakes can atone for them. Maybe that explains why Return of the Jedi is my favorite Star Wars films because Darth Vader was redeemed and brought balance to the...more

The opportunities and challenges associated with product labeling and packaging in Europe: Total brand care

by Hogan Lovells on

From bright and glossy, to refined and elegant, product labeling and packaging convey information, messaging, and claims about a brand. At the same time the labeling and packaging must also include mandatory information,...more

OCC Identifies Cybersecurity as an Increasing Risk to Banks in Semiannual Risk Perspective

by Weiner Brodsky Kider PC on

The Office of the Comptroller of the Currency (OCC) recently released its Semiannual Risk Perspective for Fall 2017, assessing the risks facing national banks and federal savings associations as of June 30, 2017. A key risk...more

EC Opens Consultation Period on EFSA Risk Assessment and Scientific Advice

by Bergeson & Campbell, P.C. on

Beginning on January 23, 2018, the European Commission (EC) opened a consultation period on the European Food Safety Authority (EFSA) risk assessment process (scientific advice). The EC states it is seeking feedback on its...more

Sign and Submit by February 15, 2018: NYDFS Cybersecurity Certification Due Date Nears as Additional Compliance Requirements Close...

by White & Case LLP on

Since the New York Department of Financial Services ("NYDFS") issued its Cybersecurity Requirements for Financial Services Companies regulation ("Cybersecurity Regulation") on March 1, 2017, organizational efforts to meet...more

Sgt. Pepper’s and Andi Simon on Changing a Corporate Culture

by Thomas Fox on

What your culture is today? You should consider what you value in terms of six key areas: dominant characteristics; organizational leadership; management of employees; the glue that holds the organization together; strategic...more

Congress Proposes National Directory of Beneficial Owners of Legal Entities

by Ballard Spahr LLP on

Congress is considering a new draft bill, the Counter Terrorism and Illicit Finance Act (“CTIFA”), currently in committee in the Senate.  The CTIFA proposes the most substantial overhaul to the Bank Secrecy Act (“BSA”) since...more

OCC report identifies use of third-party service providers and consumer compliance as key risks for federal banking system

by Ballard Spahr LLP on

Last week, the OCC released its Semiannual Risk Assessment for Fall 2017 highlighting credit, operational, and compliance risks to the federal banking system. ...more

Cal/OSHA Approves Hotel Housekeeping Injury Standard – Likely to Go Into Effect Later This Year

by Fisher Phillips on

After nearly six years of discussion and debate, the Cal/OSHA Standards Board (Board) yesterday approved a standard on “Hotel Housekeeping Musculoskeletal Injury Prevention.”...more

What Level of Due Diligence Should You Perform

by Thomas Fox on

Today, I want to take a deep dive and exploration of the levels of due diligence. Due diligence is generally recognized in three levels: Level I, Level II and Level III. Each level is appropriate for a different level of...more

Working With a Commercial Cannabis Tenant

The emergence of legalized marijuana for recreational adult use in California, beginning in some counties as early as January 2018, will require those involved in commercial real estate to continue to consider the pros and...more

Post-market medical devices, cybersecurity, and the U.S. FDA’s growing concerns

by Hogan Lovells on

From insulin pumps and pacemakers to defibrillators, medical devices increasingly rely on wireless and internet connectivity for efficient operations. Unfortunately, these interconnections also leave devices vulnerable to an...more

Eurasia Group’s Top Risks 2018: Impacts for Canadian Business

by Bennett Jones LLP on

The Eurasia Group has released its annual forecast of the political risks that are most likely to play out over the course of 2018. As a Senior Advisor with Eurasia Group, I’m pleased to share the risks that have the greatest...more

EFSA Begins Public Consultation on Guidance for the Risk Assessment of Nanoscience and Nanotechnology Applications

by Bergeson & Campbell, P.C. on

On January 12, 2018, the European Food Safety Authority (EFSA) opened a public consultation on its draft guidance for the risk assessment of nanoscience and nanotechnology applications in the food and feed chain. The...more

Day 15 of 31 Days to a More Effective Compliance Program-How Do You Evaluate a Risk Assessment?

by Thomas Fox on

After you complete your risk assessment, you must then translate it into a risk profile, as Rick Messick has noted, to estimate where bribery is likely occur, so prevention efforts will be properly targeted. Ben Locwin...more

Class action lawsuit isn’t the only fear

by Ary Rosenbaum on

Plan sponsors will say it all the time: they are too small to be sued in a class action lawsuit. That may be true, but a class action lawsuit isn’t the only thing to fear....more

How Do You Evaluate a Risk Assessment?

by Thomas Fox on

Yesterday we considered how to perform a risk assessment. Today how do you evaluate the information you have developed. After you complete your risk assessment, you must then translate it into a risk profile, as Rick Messick...more

Day 15 of 31 Days to a More Effective Compliance Program-How Do You Evaluate a Risk Assessment?

by Thomas Fox on

After you complete your risk assessment, you must then translate it into a risk profile, as Rick Messick has noted, to estimate where bribery is likely occur, so prevention efforts will be properly targeted. Ben Locwin...more

Green bonds – building optionality for issuers into programme documentation

by White & Case LLP on

Since their introduction in 2007, green bonds issuances have exponentially increased in volume and have become a necessary product for bond issuers to offer their investor base. In view of this, bond issuers are increasingly...more

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Cybersecurity

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