Board Members Take Note: SEC Chair Clayton Speaks on 2019 Initiatives and Market Risks
On December 6, 2018, in New York City, the Securities & Exchange Commission (“SEC”) Chair Jay Clayton delivered his speech,
Category: Compliance Coordinator
Focus on the Bad Actors! DOJ Outlines Key Policy Revisions Re-Focusing on Individual Accountability
American Conference Institute’s 35th International Conference on the Foreign Corrupt Practices Act “Fighting white-collar crime is a top priority for
Robotic Process Automation: Using Technology for Forensic Investigations and Compliance
As My good friend Robert Mainardi says, “When presented with any new technique, approach, or methodology, there is always the
Fraud and Related Party Transactions
Related party transactions could be a “red flag“, and must be evaluated with the proper skepticism! Perceived opportunities to commit
Board Member Composition: Participants, Passengers, and Prisoners?
I have spoken with many board members and attended many meetings over the years, and I am amazed at how
Corporate Governance – Commonsense Principles 2.0
Corporate governance is the collection of systems and processes that an organization has in place to prevent or dissuade potentially self-interested persons from engaging in activities detrimental to the welfare of shareholders and stakeholders and helps to promote better overall decision making.
Compliance Thought Leaders You Should Be Following
Compiling a list of thought leaders in ethics and compliance is fun, but so challenging. There are simply too many thoughtful people in this field — which is itself enormous and wide-ranging — to call out everyone worth following. So below is a small slice of the thinkers in corporate ethics and compliance that I try to follow.