Governance
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...
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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...
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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...
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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...
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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...
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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...
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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.
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As most public companies approach the start of Proxy Season 2017, investor voting policies and the hottest trends in corporate governance are important issues companies will face at their annual meetings. Equally important are the practical considerations for how to...
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8 Helpful Tips Issuers Should Know The SEC’s new rule amendment requiring issuers who present exhibits in numerous regulatory forms to begin providing active hyperlinks is drumming up plenty of questions. The confusion is particularly acute because larger issuers are...
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Digital transformation is among the top priorities for boards of directors in 2017, as boards are trying to become tech savvy. In the digital age, apps are ubiquitous, and knowledge about digital transformation is crucial. Tobias Häckermann outlines some of...
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Diligent, a leading expert in corporate compliance and board governance, has recently released a report examining boardroom communications and the dangers posed by a glaring gap in directors’ digital diligence and their understanding of cybersecurity. Without an understanding of just...
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We’re all in agreement that culpable whistleblowers should not be eligible for financial awards. But Dan Hurson argues that legislation already in place has guards against the potential of awarding guilty parties. And the vast majority of whistleblowers have kept...
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- Andrew I. Farmer, Scott R. Sieck, Eddie D. Austin, Jr., Carolyn P. Austin, and John D. Brotherton May 17, 2019SEC Charges Five Individuals with Running a Pump-And-Dump Scheme
- Collector's Coffee (d/b/a Collectors Café), and Mykalai Kontilai May 15, 2019SEC Freezes Assets of Online Auction Portal and Its CEO Associated with $23 Million Offering Fraud
- Brian Fettner, et al. May 14, 2019
Corporate Compliance Insights
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