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,

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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

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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

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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.

Speaking and Training on Fraud, Ethics, and More…

Best in class fraud and ethics training customized for you and your organization.

DOJ Refines Monitorship Policies

Ultimately, a monitor should benefit the company, its employees, shareholders, and the public by effectively furthering the goal of preventing and detecting future misconduct.

Fraud Tip Friday: How Tight is Your Grip on Cash?

The treasurer of one of the largest oil companies in the United States recently learned the internal controls over the

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FCPA – Cash, Bribes, and the “Four Eyes Principle”

At a minimum, as part of (emphasis added) your overall fraud risk management program, the following key processes/functions should be

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Compliance 101: Defining a Control

July 2018 Last week I was speaking at an ethics and compliance event in Houston, where one of the other

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