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Senior Managers Corporate Governance Internal Controls

Thomas Fox - Compliance Evangelist

Bank of America’s Corporate Culture Crisis: Part 5- A Case Study for Compliance

Compliance professionals constantly seek to understand how systemic issues within corporate hierarchies can lead to severe consequences. The recent revelations about Bank of America’s (BoA) persistent workplace culture...more

The Volkov Law Group

LRN 2023 Compliance Program Report Underscores Importance of Compliance Program Vigilance

The Volkov Law Group on

LRN continues to provide important insights and trends on the importance of ethics and compliance programs.  LRN’s annual report is an important resource and needs to be reviewed by the board, senior management and all...more

Thomas Fox - Compliance Evangelist

Farewell to Pete Hamill: Consistency and Culture in Compliance

Pete Hamill died Wednesday. According to his New York Times (NYT) obituary, he was the “streetwise son of Brooklyn who turned a gift for storytelling, a fascination with characters and a romance with tabloid newspapers into a...more

The Volkov Law Group

Get Compliance Straight – The Need to Automate

The Volkov Law Group on

I am reluctant to start off the New Year with a negative comment or posting.  But I have a significant concern about the path and current state of ethics and compliance....more

The Volkov Law Group

How to Implement an Effective Ethics and Compliance Committee

The Volkov Law Group on

Most compliance programs include some form of internal compliance committee separate from the company’s audit committee.  An internal compliance committee can play a very important role in advancing a compliance program....more

Thomas Fox - Compliance Evangelist

Board Governance and Risk Oversight

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

Snell & Wilmer

SEC Announces Second Wave of Cyber Exams of Broker Dealers and Advisors – Is Your Firm Ready?

Snell & Wilmer on

In April 2014, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert announcing its first cybersecurity sweep initiative. Pursuant to that initiative,...more

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