Governance
To all the “nattering nabobs of negativity” concerning FCPA enforcement, the US Justice Department responded with a resounding message – not only is FCPA enforcement here to stay, but individual violators are on DOJ’s radar screen. In an FCPA enforcement...
Read more
Companies and individuals are increasingly the targets of regulatory investigations in Australia. Local regulators have long expressed frustration at the disparity between the options available to them when compared to their overseas counterparts. However, recent developments indicate a broadening of...
Read more
U.S. financial institutions are scrambling to adjust to the expected shift within the trading industry with the implementation date of MiFID II, January 3, 2018, quickly approaching. Whether or not financial institutions plan to absorb the cost of research, middle and...
Read more
Expanding the View to Include Culture Does your organization view compliance as a “check the box” exercise? Many companies do. Chuck Saia, CEO of Deloitte Risk and Financial Advisory, feels differently and shares five ways a board can start broadening...
Read more
How to Avoid Costly Missteps Russell Reynolds Associates’ Cynthia Dow and Anthony Goodman, compliance and board experts, interviewed leading chief legal officers, chief compliance officers, former investigators and board directions to under the biggest compliance missteps boards make. with co-author...
Read more
Proposed Guidance for Banks and Holdings Companies In August, the Board of Governors of the Federal Reserve published proposed guidance on certain supervisory expectations for Boards of Directors of banks and holding companies. The proposed guidance would attempt to clarify...
Read more
3 Multidisciplinary Lessons Learned GRC leaders shouldn't expect to find an off-the-shelf GRC solution that truly meets their needs. Instead, they should focus on adopting a balanced, iterative approach, likely one involving a variety of technology schemes that include practical, best-practice steps...
Read more
Corporate Governance and M&A in the Age of the Activist Activist campaigns and predictions are dominating the headlines this year as shareholders are calling for changes at companies across the globe. With this constant flow of shareholder activity, governance has...
Read more
Control or be Controlled: 5 Problem Areas for Boards Compliance is evolving, and board members may now be unsure of their related responsibilities. Board members are more and more reliant on the data obtained from information systems to make their...
Read more
How Involved is Your Board? It’s long been said that an effective compliance program can’t exist without a strong culture of ethics and compliance. Also critical is tone from the top, without which there’s no clear directive for the organization...
Read more
Emerging technologies are transforming companies. What should your board know about them? Companies are looking at the next generation of digital technologies as a way to get ahead. They’re changing their strategic plans and making investments – and boards need...
Read more
Board composition is one of the top issues for investors in 2017, and while some industries have made strides in diversifying their boardrooms, other industries are lagging behind, according to a new report from PwC’s Governance Insights Center.
Read more
- AR Capital, LLC, et al. July 17, 2019Former Reit Manager and Executives to Settle SEC Charges for More Than $60 Million
- William C. Skelley and Sohin S. Shah July 17, 2019SEC Obtains Final Judgments Against Founders of Real Estate Crowdfunding Portal
- Emmanuel Kouyoumdjian (a/k/a "Manny K") July 17, 2019SEC Charges Unregistered Broker Who Sold Retail Investors Securities in Fraudulent Scheme
