My notes, live, from Self-Assessments: Criteria and Procedures for Evaluating GRC Programs, with Gracie Fisher Renbarger, Chief Ethics and Compliance Officer of Dell; Nan Stout, Vice President Business Ethics of Staples; and Carole Stern Switzer, President of OCEG. Carole started off with two observations: Designing, implementing, and improving a governance, risk management and compliance (GRC) [...]
Archive | June, 2009
Vetting Business Partners
My notes, live, from Vetting Business Partners, with Alexandra Wrage of Trace International to talk about how leading companies have approached this challenge in a global company. Due diligence on business partners is one of the most important things a company can do, but also one of the least interesting things. She points out that [...]
Luis Aguilar Keynote at Compliance Week Conference
My notes, live, from the keynote by SEC Commissioner Luis A. Aguilar: James Doty of Baker Botts introduced the Commissioner. (A disclaimer from the Commissioner: the speech is his opinion alone and not necessarily the view of the SEC.) The Commissioner titled his presentation “Reversing Course: Putting Investors First.” The focus should be on protecting [...]
Off To Washington
The rest of my week will be spent at the annual Compliance Week Conference in Washington, D.C. As I have done with past conferences, I plan to live-blog from open conference sessions. Essentially, I will be sharing my notes with you. (Assuming I have a steady internet connection and power supply.)
Illinois Pension Reform Legislation in Public Act 096-0006
Illinois Public Act 096-0006 became effective on April 3, 2009, making significant changes to the operations of Illinois retirement systems, pension funds and investment boards. The Act imposes increased oversight and accountability requirements on the boards of trustees, fiduciaries and investment advisers, managers and consultants. The provisions apply not only at the state level, but [...]
New MBAs and Their Code of Ethics
I respect the ambition of a group of recently graduated Harvard Business School MBA’s to promulgate a code of ethics. A story in the New York Times publicized this initiative. “When a new crop of future business leaders graduates from the Harvard Business School next week, many of them will be taking a new oath [...]
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