Steps Your Nonprofit Can Take to Mitigate Fraud Risks - Part 2
A Third Party's Perspective on Third Party Risk
Why Time Matters: Partners Lindsay Gerdes and Michael J. Bronson on Swift Action in Government Investigations
Consumer Finance Monitor Podcast Episode: Why do Fintechs Want to Become Banks?
Privacy Issues from Third-Party Website Tags
What's the Tea in L&E? Employee Devices: What is #NSFW?
Episode 331- NAVEX State of Risk and Compliance Programs
What the Board Should Be Asking About the Compliance Program
Video: Artificial Intelligence Use in Political Campaigns
Episode 329 -- Bryn Sedlacek from Aravo on TPRM Holistic Risks and Unified Visibility
Compliance Lessons from Dating in Your 50s
The Justice Insiders Podcast - AI-Washing: Everything Old Is New Again
The AI Shakeup: New Tech Innovations and the Future of Corporate Law
Principled Podcast: S11E7 | Fortifying Ethical Frameworks: Navigating Emerging Risks in the Middle East
Managing Compliance Risk for Human Trafficking and Modern Slavery
Common Scenarios Triggering False Claims Act Violations, Part 3: Claims and Investigations
Navigating Bank-Fintech Partnerships: Avoiding Common Pitfalls — The Consumer Finance Podcast
Episode 326 -- Dottie Schindlinger on Diligent's Report on Board Oversight of Cybersecurity Risks and Performance
Revisiting Financial Institution Incentive Compensation Rules Under Dodd-Frank — The Consumer Finance Podcast
Episode 325 -- AI and Emerging Compliance Frameworks
If you are reading this article, you are likely aware that a creditor collecting its own debts in its own name is not a "debt collector" under the federal Fair Debt Collection Practices Act ("FDCPA") or its implementing rule,...more
SEC DROPS NEW REQUIREMENT FOR INCIDENT RESPONSE PROGRAMS, PROPOSAL FOR RIAS TO ADOPT CIP, SEC EXAMS SHARES MARKETING RULE FAILURES, RIA SLAMMED FOR FAILING TO RETAIN TEXTS, AND SEC WINS ON SHADOW TRADING THEORY - Welcome to...more
The use of smartphones in the workplace is commonplace. Smartphones can offer many benefits to employees and employers, such as increased productivity, communication, collaboration, and flexibility. Hence, many companies...more
Ransomware attacks that shut business down to zero and data breaches that disclose the personal information of customers, vendors and employees justifiably strike fear in the hearts of executives everywhere. Organizations can...more
I recently had the opportunity to visit with folks from Diligent. We look down the road at key issues in 2024 in a podcast series sponsored by Diligent entitled Compliance Professionals Adapting to Change: Industries,...more
This week I have a special five-part podcast series, sponsored by Verint on the Future of Communication in Financial Compliance on the Innovation in Compliance podcast series on the Compliance Podcast Network. My guest in...more
Just to play devil’s advocate (or perhaps to push my agenda), I have conflicting views on corporate use of ephemeral messaging applications. On the one hand, I understand the importance of managing electronics communications...more
Honestly, I have been avoiding this topic since it presents a real morass of risks and potential traps for the unwary company and Chief Compliance and Chief Legal Officers....more
The corporate world has once again been forced to adapt as communication trends change. When ephemeral messaging first gained popularity, it was merely a fun way to send disappearing pictures or messages to friends over apps...more
In today’s rapidly expanding digital realm, keeping up with regulatory requirements in E-com surveillance is more than just a necessity—it’s a game-changer. As the world grapples with the challenges brought by the COVID-19...more
As we predicted, the Supreme Court held that a business could be exposed to substantial damages under the False Claims Act (FCA) if it incorrectly applies ambiguous rules or regulations. The unanimity of the opinion—which we...more
Tech Vendors and Cybersecurity – Are They Responsible? It has long been recommended that when you contract with a technology vendor that you include an indemnity clause in the contract wherein the vendor will indemnify you...more
It is imperative that a company knows what data it holds, why it is holding it, where it holds it, and who has access to it. The old adage that information is power leads many to believe that holding on to as much data as...more
The Justice Department finally released its new policy to improve corporate preservation of data generated by executives and employees. In this new technology era, companies have had significant gaps in collecting and...more
On March 3, 2023, Assistant Attorney General Kenneth A. Polite announced significant revisions to the Department of Justice (“DOJ”) Criminal Division’s Evaluation of Corporate Compliance Programs (“ECCP”) specifically focused...more
The U.S. Department of Justice (DOJ) recently released new guidance announcing several policy changes to further strengthen and clarify its approach to prosecuting corporate crime. The guidance, released through a memorandum...more
Let us assume a company has done all the right things. Preemptive security was a concern, so the company tightened up its written cybersecurity controls and associated technical controls, including policies and...more
In Formal Opinion 498, issued on March 10, 2021, the American Bar Association’s Standing Committee on Ethics and Professional Responsibility has provided some guidance on the ethical obligations triggered when a lawyer...more
The novel coronavirus outbreak is creating electronic communication and data privacy concerns on a number of fronts. One immediate effect is a significant increase in phishing scams, used by threat actors to launch malware...more
Q: What is the current rule on whether an employee can use our company’s email system to distribute union material? Also, are we permitted to require employees to keep workplace investigations confidential without running...more
Text-marketing (or SMS marketing) can be an essential tool for many small businesses. For a small price, any company can send bulk messages to hundreds of phone numbers of existing and potential customers. Originally...more
As Americans increasingly rely on text messages to communicate on a daily basis, marketers have taken note, and text advertising and marketing is increasingly common. Indeed, text messages have a read rate of about 98%, and...more
Did you know Americans lost nearly $150 million dollars to real estate internet scams last year? That makes real estate cyber crime a greater risk to Americans than identity theft ($100 million in losses) or credit card fraud...more
Is your organization using Adobe Experience Manager (AEM) to create user-level individualized website experiences? If so, kudos to you and your marketing team. We’ve been blown away by the degree of granularity and...more
Slack is a widely adopted collaboration tool for enterprises around the globe that is taking over a fare share of email communications. Many corporations have their playbook all set for standard communications platforms like...more