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: Risk Assessment
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
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.
Today’s General Counsel: White Collar Crooks Share Certain Characteristics
October 17, 2018, Today’s General Counsel It’s a mistake to ignore the human element when fighting fraud within a corporation.
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
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
Registration is Now Open – Class Size is Limited! Doing Compliance Master Class Training with Tom Fox will be held in New York City on November 12-13 (Two Days), 2018.
I am pleased to announce the next offering of my Doing Compliance Master Class. I am partnering with Baker Tilly
News Release: Baker Tilly Strengthens Growing Forensic Litigation Valuation Services Practice with Addition of Industry Leader Jonathan T. Marks
Contacts: Kendra Klossner Baker Tilly Media Relations kendra.klossner@bakertilly.compress@bakertilly.com (703) 923-8627 Marks brings over 30 years of forensic accounting, investigations, governance,
FCPA Settlement – Petrobras Board Involved
The Department of Justice (DOJ) said in a release, “Executives at the highest levels of Petrobras — including members of its
Third Party Red Flags
Knowing who you conduct business within your supply chain is a very good if not leading business practice. Many organizations
Perfect Place Syndrome and the 10-80-10 Rule to Ethics
Time and again I hear “there is no fraud here…we have great controls and an excellent culture…” If you are
Putting the Freud in Fraud – Part Two
While we can’t get into the mind of the white collar criminal, we can take a closer look at high-profile individuals who have perpetrated massive fraud at corporations and instances of fraud identified in practice, as well as some research, to help is identify a pattern of similar behavioral elements common to white-collar crooks and cultural elements common to their environments.