Why You Need to Worry About FINRA
The Financial Industry Regulatory Authority is under the radar for many organizations. Being fully aware…
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A High Court Ruling That Could Reverberate Around the World
A recent High Court ruling in the U.K. holding a business responsible for the protection…
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The FCPA Week That Was — Seven Individuals Charged for FCPA Violations
To all the “nattering nabobs of negativity” concerning FCPA enforcement, the US Justice Department responded…
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Tools of the [Regulation] Trade
Companies and individuals are increasingly the targets of regulatory investigations in Australia. Local regulators have…
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Research Billing: The Current State of Affairs
U.S. financial institutions are scrambling to adjust to the expected shift within the trading industry…
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5 Ways to Elevate the Board’s Oversight of Compliance
Expanding the View to Include Culture Does your organization view compliance as a “check the…
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The Top 5 Mistakes Boards Make in Overseeing Compliance
How to Avoid Costly Missteps Russell Reynolds Associates’ Cynthia Dow and Anthony Goodman, compliance and…
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Fed to Lessen Supervisory Expectations on Boards
Proposed Guidance for Banks and Holdings Companies In August, the Board of Governors of the…
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Thriving in the GRC Trenches
3 Multidisciplinary Lessons Learned GRC leaders shouldn’t expect to find an off-the-shelf GRC solution that…
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Activists’ Expanding Influence in M&As
Corporate Governance and M&A in the Age of the Activist Activist campaigns and predictions are…
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5 Ways Boards Must Improve Compliance Oversight
Control or be Controlled: 5 Problem Areas for Boards Compliance is evolving, and board members…
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The Board’s Overlooked Role in Compliance
How Involved is Your Board? It’s long been said that an effective compliance program can’t…
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