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: SEC
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.
Speaking and Training on Fraud, Ethics, and More…
Best in class fraud and ethics training customized for you and your organization.
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
United Technologies Charged With Violating FCPA and Pays almost $14.0 million to Settle
According to the SEC’s order, United Technologies, a Delaware corporation that was founded in 1934 and is headquartered in Farmington,
Whistleblowers: A Fraud Triage System
As the use of whistleblower programs continues to grow, many organizations find themselves struggling to manage burgeoning caseloads. As a
FCPA – “A Better Life, a Better World” Well Maybe Not Yet for Panasonic Avionics
Panasonic Avionics, a subsidiary of Panasonic, based in Lake Forest, California, designs and distributes in-flight entertainment systems and global communications
Beam FCPA Settlement – Third Parties were used to Fund the Bribery Schemes
Beam Inc., n/k/a Beam Suntory Inc. is a corporation organized under the laws of the state of Delaware and headquartered
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
How GDPR Could Impact Whistleblowers and the Ethics Hotline
Love it or hate it, from what I have experienced and read, whistleblowers and their “tips” are one of the