Compliance
Coalfire’s Adam Salerno discusses the process, effort and rewards of designing and implementing an automated compliance environment, as well as what organizations can do to automate security controls to meet specific compliance framework requirements. Enterprises serving multiple highly regulated industries...
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Compliance is near the top of nearly every health care provider’s list of priorities. But what does a robust compliance program really look like? Ty Howard, Partner at Bradley Arant Boult Cummings, offers insight from the DOJ’s recently updated guidance....
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Jay Rosen discusses the various ways regulators at all levels – federal, state and local – use monitors, as well as how monitors can be used outside the regulatory context in areas as diverse as M&As, business ventures, IP and...
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The Trump administration’s policies toward Cuba have recently shifted, creating some urgency for U.S. firms that do business with the embattled country and its regional partners. Michael Carter and Drew Marrocco detail what American companies need to do to maintain...
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In the #MeToo era, with allegations of workplace misconduct on the rise, organizations need a quick and accurate way to evaluate claims. Hanzo’s Sean Freidlin asserts that the internet is a hotbed of potential evidence — if you can sort...
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State agencies are pushing the envelope with respect to their regulatory enforcement authority. Venable’s Randy Seybold and Andrew Kay explore how the resulting increase in improper “regulation through enforcement” actions presents a serious challenge for companies. In recent years, changes...
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The government of China recently announced its intentions to publish a list of foreign entities that harm the interests of Chinese companies. Attorneys from Clifford Chance discuss the particulars and how the “unreliable entity list” will have immediate impact to...
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Over the last five years, the Justice Department has struggled to establish a firm set of rules and expectations surrounding corporate criminal liability. Competing factors have made the process murky, as Volkov notes here. But the stakes are high. Today's...
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Findings from recent studies on compliance trends and developments are a mixed bag; some positive, some negative. Michael Volkov shares an uncharacteristic view of corporations and their failures to embrace E&C strategies. We all like to believe in straightforward and...
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People need reminding more than they need instruction. Compliance training expert Ronnie Feldman stresses that instruction isn’t enough. Think like an ad man to influence workplace behavior and corporate culture. A very wise and important person once said, “people forget...
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More than half of all shareholder proxy proposal exclusions allowed by the SEC are based on Rules 14a-8(i)(7) and 14a-8(i)(10), according to research and analysis in our new whitepaper. In this whitepaper, Intelligize’s Rob Peters and Alyson Clabaugh leverage public company...
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Financial reporting still involves pulling data manually out of an ERP/EPM system into Excel, then manipulating the data to create custom reports – a slow and error-prone process. insightsoftware’s Craig Nickerson outlines a better alternative. A big part of financial...
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- Terry Wayne Kelly and Kelly Management, LLC August 22, 2019SEC Charges Mississippi Company and its Principal with Fraud in Timber Ponzi Scheme
- Andrew J. Kandelapas August 20, 2019SEC Obtains Final Judgment Against CEO in Penny Stock Fraud Scheme
- Crystal World Holdings, Inc., et al. August 19, 2019SEC Charges Issuer for Misleading Investors in the Sale of Unregistered Securities
