DOJ & SEC Raising the Stakes on Third-Party Risk Management
Many companies these days are implementing automated due diligence systems, and it’s no wonder why: the government’s expectations in terms ...
Many companies these days are implementing automated due diligence systems, and it’s no wonder why: the government’s expectations in terms ...
Morrison & Foerster’s James Koukios and Amanda Aikman examine 10 ways in which the anti-corruption compliance landscape changed dramatically in ...
Given the far-reaching effects of the coronavirus pandemic, shareholder meeting season this year is far from business as usual. BDO’s ...
Trading regulations on CVCs are due for a refresher course from FinCEN in light of recent penalties against a P2P ...
Whistleblowing is on the rise and may gain further traction from recent stories in the news, increasing the burden on ...
Criminal Indictment Filed Charging Fraud The fallout continues for Elizabeth Holmes and Sunny Balwani, respectively the CEO and COO of ...
Eversheds Sutherland partners with Smarsh to focus on enforcement actions in key areas that are already presenting significant challenges to ...
Priorities Letter Outlines Areas of Focus Each year, the Financial Industry Regulatory Authority (FINRA) shares its regulatory and examination priorities ...
Comment letters from the SEC can come out of the blue, require a lot of work involving executive leadership and ...
How can I possibly certify that 100 percent of my third parties, including all customers and vendors, are 100 percent ...
Jeff Kaplan and Rebecca Walker inaugurate what will be a regular column on compliance & ethics program assessments. Most of ...
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