Governance

Regulatory examinations shouldn’t be confrontational events, as the licensee’s and the regulator’s missions should be aligned – that is, honest, fair, equitable and efficient operations. This article discusses points and tips for you to keep in mind as you plan for your first or next examination.

In the acquisition of another business, your firm may pick up more than assets and personnel; depending on how the merger is structured, you may be on the hook for the dissolved company’s environmental liabilities.

With record sums of cash on the balance sheets of U.S. companies, there are questions about the best way to use this liquidity. Activists often pressure companies to increase share repurchases, increase dividends, restructure, spin-off a division or even sell the company. And activists are often successful in achieving their goals. PwC's Governance Insights Center recently released a report titled...

Compliance Pre-Review and Advanced Sampling Information Governance is a Strategy, Not a Tool The Rise of Unified Information Governance

The SEC staff recently issued responses to no-action requests from issuers seeking to exclude proxy access shareholder proposals from their proxy materials on the grounds that the proposals had been substantially implemented. The staff granted no-action relief to most of the companies, but denied relief to others, with the ownership threshold in the previously adopted proxy access bylaw appearing to...

Improved Board risk oversight may be the most important factor in preventing corporate governance breakdowns. This theory is picking up steam among experts, and the expectation now is that Boards should oversee management’s risk appetite and tolerance and ensure alignment with its own.

Shareholder activists have upended the market for corporate control in recent years, taking positions in public companies and pushing for restructuring and cost-cutting to drive up share prices. They’ve had less success however, in driving long-term growth at the companies they target. Corporate managers can preempt — or beat — the activists by deploying a more powerful tool for growth:...

What are the main priorities that GRC stakeholders need to have in 2016? Scott Wisniewski, Managing Director for the Risk Technology Solutions at Protiviti, will address the top considerations needed in order to create a successful convergence strategy.

This abridged version of Directors and IT, a user-friendly guide for effective information technology (IT) oversight, highlights a six-step process that directors can follow to better fulfill their IT oversight responsibility.

We’ve come a long way, baby. Companies utilizing complete digital archiving solutions are able to reap benefits including highly efficient file searching, email tracking, social media oversight, and analysis of communications. Not only does comprehensive archiving smooth the e-discovery process, it also enables organizations to detect and prevent compliance violations and better manage various risks.

This second piece by Ron Meyer on the rise of the non-bank lender looks at growth in these non-traditional sources of funding and what some are doing to prepare for potentially impending regulation.

Compliance with regulatory requirements can get complicated when companies in highly regulated industries take to social media. Subject matter expert Joanna Belbey offers five steps to ensure that when your company posts, they do so purposefully, knowledgeably and well within the bounds of the law.