Welcome to the OFAC Compliance Framework
It's the most detailed statement to-date of OFAC’s views on the best practices that companies should follow to ensure compliance with U.S. sanctions laws and regulations, and some would call...
Whitepapers
Regulatory Roundup: 10 Recent FINRA and SEC Violations and Penalties
Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the financial services industry -- and many firms are feeling the...
What is the Board’s Role in Effective Risk Management?
The Shared Assessments Program, the member-driven leader in third-party risk assurance, recently released a new set of findings and recommendations developed with C-level executives and risk experts from a dozen organizations....
Risk Managers: You’re Probably Spending Too Much Time Monitoring Email
Remember when email was the only way we shared information? Modern communication methods have evolved -- and risk has grown along with it. But you know that already, right? If...
Shared Assessments’ Third-Party Risk Management Framework
The Shared Assessments member-led consortium for third-party risk management has introduced an assessment and monitoring module, the latest addition to the Third-Party Risk Management (TPRM) Framework trusted by cybersecurity, risk...
PwC’s 2019 Annual Corporate Directors Survey
PwC’s Annual Corporate Directors Survey, set to release on October 8th, reveals a conundrum of collegiality in an increasingly distrustful environment. In a survey of more than 800 U.S. board...
Shearman & Sterling’s Annual Corporate Governance & Executive Compensation Survey
Concern for environmental and social issues has reached an inflection point. While traditional governance issues that have been a staple of investor advocacy and discussion (the “G” of ESG) continue...
Whitepapers: Impact of Revenue Recognition Standards on Public Companies
Public companies based in the U.S. are choosing the less onerous (but riskier) of two possible methods for complying with new standards for recognizing revenue from customer contracts. This two-part...
Global Shipping & Maritime Industry: The Increasing Complexity of Sanctions on the Risk Control Framework
In the last two years, the United States and its international allies have significantly increased the use of sanctions against illicit maritime networks engaged in commerce in support of the...
The Antitrust Division Guidance on an Effective Compliance Program
As the third in a triumvirate of releases on compliance programs, the DOJ's Antitrust Division released its antitrust compliance program guidance in July. This follows the release of the ABC...
Microsoft FCPA Enforcement Action
The Microsoft FCPA resolution was recently announced, with the total fine and interest paid by Microsoft to the SEC at approximately $16 million via a cease and desist order. The...
Nymity Report: Taking the Pulse of the Privacy Office
Despite recent efforts to weaken it, the California Consumer Privacy Act (CCPA) is still going into effect on January 1, 2020. Alongside it, more states creating data protection regulations every...