On Sept. 16, 2009, Compliance Week and Navigant Consulting presented an exclusive editorial roundtable about compliance practices at financial services firms at The Mandarin Oriental Hotel in Boston. (Apparently not so exclusive, considering I was able to get in. I even made it into one of the article’s pictures. – That’s me eating my fingers [...]
Tag Archives: Compliance Week
Redefining Risk
Maybe we should define risk as what needs to go right, instead of what could go wrong. Although I would like to claim credit for this view of risk, it came from James Bone of Global Compliance Advisors, LLC. I met James at a Compliance Week round table last week discussing risk management and regulatory [...]
Madoff Hearing at the Senate Banking Committee
I will be covering today’s Senate Hearing (”Oversight of the SEC’s Failure to Identify the Bernard L. Madoff Ponzi Scheme and How to Improve SEC Performance“) along with several guest panelists via the interactive discussion below. Please visit this page today at 2:30 pm to join me, Bruce Carton of Securities Docket, Compliance Week editor [...]
Seven Questions to Ask to Optimize Your Compliance Programs
Compliance Week put on a webinar covering Practical Guidance: Seven Questions to Ask to Optimize Your Compliance Programs. Bruce McCuaig, Vice President, Risk and Compliance and Mike Rost, Vice President, Marketing of Paisley presented. Mike started off with some background of Paisley, then moved onto the “Why?” of Compliance. Companies want to avoid the downside [...]
SEC’s Notice and Access Rules: What Do They Mean For Your Company?
Computershare has put together a White Paper that they distributed through Compliance Week: An Explanation of the SEC Notice and Access Rules: What Do They Mean for Your Company? (.pdf)[For Compliance Week Subscribers] Pamela Eng, Product Manager for Computershare Investor Services takes us through The SEC’s Shareholder Choice Regarding Proxy Materials rules in Release No. [...]
Roundtable Discusses Supply Chain Risks
On Jan. 27, 2009, Compliance Week and Integrity Interactive presented an editorial roundtable focusing on supply chain and vendor management risks. They were kind enough to invite me to participate. There is an article about the roundtable in the next issue of Compliance Week and a copy is available on line: Roundtable Discusses Supply Chain [...]
SEC Internet Enforcement
In the December Issue of Compliance Week, Bruce Carton tells some of the history of the SEC’s enforcement history. One of the first internet efforts was an email address for the public to send tips. Back in 1996 there were about 20 complaints a day. Now there as many as 10,000 a day. With all [...]
The Corporate Risk Management Library
Here are my notes from this webinar from Compliance Week, sponsored by CA, Inc.: Enhancing the Risk Profile of Your Organization: The Corporate Risk Management Library Speakers: Tom McHale, Vice President of Product Management, CA Christopher Fox, Principal Consultant, Governance Compliance and Risk Group, CA We are seeing a movement from executive autonomy to executive [...]
Kozeny Decision Limits Defense to FCPA
Melissa Klein Aguilar wrote a peice on Compliance Week about the decision in U.S. v. Kozeny decision that limits the local law defense under the Foreign Corrupt Practices Act: FCPA Decision Narrows Local-Law Defense. The Kozeny decision makes clear that if the payment itself is illegal, the local-law defense can’t be used even if the [...]
Corporate Compliance And Ethics Week
The Society of Corporate Compliance & Ethics is promoting the week of May 3-9, 2009 as Corporate Compliance & Ethics Week.
Social Media
My social media policies database is available to you.
Affilate
This website uses the Canvas Wordpress theme from WooThemes. (affiliate link)
