Investment advisers who have been around awhile know that the SEC, both independently and through case law, has defined and redefined what it means for an adviser to be a “fiduciary.” Kerry Zinn and Tanya Lambrechts discuss the SEC’s latest...
Read moreEffective ethics and compliance training are more than just formalities in the onboarding process. Skillsoft’s John Arendes and Convercent’s Katie Smith explain how to ensure ethical behavior is rooted in company culture. Speaking up in the face of unethical behavior...
Read moreIn this free e-book, Tom Fox discusses the Department of Justice's 2019 Guidance on the evaluation of compliance programs, how it differs from the guidance issued in 2017 and how the updates can be used by the compliance professional whose...
Read moreAll functions of the organization are looking to streamline and transform. As Lakshmi Raj of Replicon explains, forward-thinking businesses have a lot to gain in bringing their time and attendance systems into the 21st century. There are a few choice...
Read moreIn this ongoing series on corporate monitorships from Jay Rosen, “Mr. Monitor,” he investigates the benefits of an independent monitor, how monitors work and how various monitorships can benefit various businesses, transactions and business relationships. There can be a wide...
Read moreDespite being headquartered outside the U.S. or having a minimal connection with the U.S., non-U.S. issuers are increasingly becoming targets in securities class actions filed in the U.S. Dechert LLP’s David Kistenbroker, Joni Jacobsen and Angela Liu explain. with co-author...
Read moreInnovation is the lifeblood of every organization. An innovative culture is what sustains reinvention and even the organization itself. In the digital age, executive management and the board have an important role to play in strengthening and nurturing this culture....
Read moreIn this fourth installment on D&O liability from Fox Rothschild’s Stephanie Resnick and John Fuller, the authors explore the importance of having a diverse board to address the challenges posed by various social issues. with co-author John Fuller Why Is Diversity...
Read moreFinancial 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...
Read moreKroll’s Anju Chopra and Heather Williams and Cognistx’s Eric Nyberg discuss how organizations are using AI to prevent and mitigate the severity of data breaches. with co-author Dr. Eric Nyberg Regulators, consumers and investors/stakeholders are increasingly not willing to accept...
Read moreThe way a leader responds amid uncertainty says a lot about his or her tolerance for ambiguity. Linda Henman explains why those who enjoy an element of ambiguity make decisions differently than those who can’t tolerate it. Most humans hate...
Read moreIn part 5 of Jay Rosen’s series on corporate monitorships, he discusses the always controversial topic of monitorship expenses, along with the various factors that play into overall cost. In any post-resolution monitorship, the monitor is most likely coming in...
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