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Risk Management Sarbanes-Oxley

Accelerynt, Inc.

Fortifying Your Manufacturing Business: The Imperative of Cybersecurity Services and Training

Accelerynt, Inc. on

Lately, I have been asked a lot about security in Business Central and how good it is… Permissions, Roles, Field Level Permission with an APP, and so on. How do you know if anything has been compromised, or if you have a...more

Davis Wright Tremaine LLP

SEC's Charges Against SolarWinds and Its CISO Highlight Emerging Risks for Public Companies, Security Professionals

The U.S. Securities and Exchange Commission ("SEC") has charged SolarWinds Corp. (SolarWinds) and the company's chief information security officer ("CISO") with securities fraud and violations of internal controls...more

BakerHostetler

Allow Me To Introduce Myself

BakerHostetler on

An old adage says that everything you need to know in life you learned in kindergarten. Similarly, as a cybersecurity lawyer who also coaches his son’s little league team, I think that the fundamental lessons needed to...more

Pillsbury Winthrop Shaw Pittman LLP

New DOJ Clawback Policy Brings Compensation and Employment Questions Front and Center for Companies

Can a new Department of Justice enforcement approach make clawback policies covering criminal activities a best practice? The DOJ is implementing a new policy under which prosecutors will make clawback policies for...more

White & Case LLP

SEC: The watchdog bares its teeth

White & Case LLP on

The Securities and Exchange Commission (SEC) has followed through on its much publicized intention of more aggressive enforcement. For instance, in June, the regulator brought an accounting fraud action that included a...more

Mitratech Holdings, Inc

The Impact of SEC’s Proposed New Rules in Cyber Risk Management

A new discourse in the cyber risk management landscape of US public companies is here. This past March 2022, the US Securities and Exchange Commission (SEC) added another item to their to-do list by announcing a...more

Foodman CPAs & Advisors

How Is Your Organization’s Performance With Respect To Fraud?

US Regulations including the Foreign Corrupt Practices Act (FCPA), Sarbanes-Oxley Act and Anti-Bribery legislation require that Management in a business have a zero tolerance for fraud and have an Audit Committee in place...more

The Volkov Law Group

Compliance Understanding of Business Processes

The Volkov Law Group on

Compliance understanding of business processes is a critical part of understanding internal controls and a company’s risk profile.  Compliance officers are adept in identifying and assessing risks.  In doing so, a compliance...more

Mitratech Holdings, Inc

Why Is Vendor Management Software So Crucial For Financial Institutions?

Vendor management is a complex task, yet a necessary undertaking for any organization dealing with third parties.  ...more

Foodman CPAs & Advisors

Are you Managing your Fraud Risk Proactively?

Managing fraud risk proactively is imperative. It is not only about protecting against financial losses commonly associated with fraud.  It is also about surviving reputational risk.  ...more

Mitratech Holdings, Inc

In the Insurance Sector, Data Governance is Back on the Agenda

Today, insurers face numerous challenges that go to the nub of their business models. Customers are seeking new types of cover, new periods of cover and new ways of being serviced – all of which require greater investment in...more

UB Greensfelder LLP

[Webinar] The Anatomy of a Whistleblower Action: Procedure, Practice Pointers, and Avoiding Pitfalls - December 5th, 2:00 pm ET

UB Greensfelder LLP on

Jeff Dunlap and Brad Sobolewski will discuss differentiating the defenses, remedies, and procedures applicable to Sarbanes-Oxley and Dodd-Frank whistleblower actions, and much more....more

Opportune LLP

What You Need To Know Before Starting an ETRM System Implementation Process

Opportune LLP on

Find out everything you need to know before starting an ETRM system implementation. Over the last two decades many energy companies that engaged in the purchase and sale of commodities as a matter of course in transacting...more

Foodman CPAs & Advisors

Should Business Owners rely on Whistleblowers or Forensic Accountants?

Foodman CPAs & Advisors on

According to a recent Foreign Corrupt Practices Act (FCPA) Blog entry (11/28/18), over 40% of internal frauds are discovered by whistleblowers and statistics show that 74% of whistleblowers are terminated. ...more

The Volkov Law Group

What Happens When a CFO Fails to Listen to the CCO?

The Volkov Law Group on

Chief financial officers are powerful players in the corporate governance landscape. CFOs play a critical role in the management and oversight of the company’s internal accounting controls. Sarbanes-Oxley lifted the...more

Patterson Belknap Webb & Tyler LLP

The DFS Effect: Cyber Meets Sarbanes Oxley

Financial institutions with ties to New York spent their Valentine’s Day learning how to use the New York State Department of Financial Services (DFS) web portal....more

Thomas Fox - Compliance Evangelist

Everything Compliance-Episode 12

Show Notes for Episode 12, the Summer Haze Edition The dog days of summer are on the horizon and the Houston Astros lead the major leagues in winning percentage. Coincidence that the US pulls out of the Paris Climate Accords...more

Winstead PC

What Retirement Plan Sponsors and Employers Need to Know About Cybersecurity Risk and Liabilities

Winstead PC on

Many employers historically were only concerned with privacy and security for health plans under the Health Insurance Portability and Accountability Act (HIPAA)1 and state laws; however, there are other references to...more

Thomas Fox - Compliance Evangelist

Volkov on the Evolving Standards for Compliance Programs

Sometimes I get inspired when writing blog posts and sometimes I get on a roll. It is a bit of both this week and today, as previously this week, I have focused on Department of Justice (DOJ) pronouncements on their view of...more

Foodman CPAs & Advisors

Do you have a FRAUD CHECKUP LIST?

Managing fraud risk proactively is imperative in today’s transparent world. It is not only about protecting against financial losses commonly associated with fraud. It is also about surviving reputational risk. An example of...more

Stinson LLP

Emerging Trends Newsletter - Q3

Stinson LLP on

We are thrilled to bring you the third installment of Stinson Leonard Street's Emerging Trends newsletter. We are proud of the depth and breadth of experience and knowledge across our firm's 13 offices nationwide and are...more

Thomas Fox - Compliance Evangelist

Houston Professional Football Stays the Same; Compliance Evolves

The history of professional football in Houston is certainly star-crossed. After winning the first two American Football League (AFL) championships in 1960 and 1961, the Oilers never made it back to the big game. After the...more

BakerHostetler

ICYMI: Financial Services Risk Summit

BakerHostetler on

On March 3, 2016, the BakerHostetler Financial Services industry team held its inaugural Financial Services Risk Summit. The speakers and panels addressed several key areas affecting the financial services sector: regulatory...more

WilmerHale

A Closer Look at Cybersecurity Legislation and Regulations in the US and Abroad - United States

WilmerHale on

Legal Framework - Summarise the main statutes and regulations that promote cybersecurity. Does your jurisdiction have dedicated cybersecurity laws? The United States generally addresses cybersecurity...more

Thomas Fox - Compliance Evangelist

The BHP Case and Enforcement of The FCPA’s Internal Controls Provision

Ed. Note-today we have a guest post from Jean-Michel Ferat ,CPA, CFF is a Managing Director in the Washington D.C office of the Claro Group around his views on the BHP Billiton enforcement action. Much has been made in...more

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