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Risk Management Securities and Exchange Commission (SEC) Compliance Management Systems

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The Major Microsoft Teams Challenge Stumping Legal & Compliance Teams

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Since 2019, the number of users on Microsoft Teams has risen 1500%, from a modest 20 million users in the pre-pandemic year (2019) to over 320 million users in 2024. Microsoft's collaboration platform is now the default...more

Thomas Fox - Compliance Evangelist

Ten Top Lessons from Recent FCPA Settlements – Lesson No. 8, Enhancing Your Compliance Program

Over the past 15 months the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) has made clear through three Foreign Corrupt Practices Act (FCPA) enforcement actions and speeches, their priorities in...more

The Volkov Law Group

Board Oversight and Monitoring of Artificial Intelligence Risks

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Corporate boards face a panoply of risks – and the nature of these risks are quickly evolving.  Cybersecurity has quickly risen to the top of the list of corporate risks.  Add to that the new SEC regulations on cybersecurity...more

Alston & Bird

As Economic Winds Blow, So Do Whistleblowers: How to Protect Your Company Through Turbulent Times

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A&B ABstract: As recently reported by the Financial Times, banks are preparing for the “deepest job cuts since the financial crisis,” with firings to be “super brutal.”...more

Jones Day

DOJ Updates Its "Evaluation of Corporate Compliance Programs" Guidance

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The Situation: The Department of Justice ("DOJ") has updated its "Evaluation of Corporate Compliance Programs" guidance for prosecutors. The Result: The updates provide additional insights into the factors the DOJ is...more

Thomas Fox - Compliance Evangelist

Continuous Improvement in a Compliance Program

Today, I consider what techniques you, as Chief Compliance Officer (CCO), can use to create continuous improvement in your compliance program. ...more

Thomas Fox - Compliance Evangelist

The Competitive (Compliance) Advantage of Data

The Department Of Justice (DOJ) and Securities and Exchange Commission (SEC) have both made it clear that they expect companies to be more robust in their use of data analytics in compliance programs....more

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