Episode 373 -- Christian Focacci on Current Developments in AI and Risk Management
Compliance Tip of the Day: Internal Controls for GTE
Everything Compliance: Shout Outs and Rants - Episode 155
Daily Compliance News: June 9, 2025, The Repugnant Edition
Adventures in Compliance: The Novels: The Sign of Four – Applying Sherlock Holmes’ Methods to Modern Corporate Compliance
Episode 372 -- DOJ Applies False Claims Act to Tariff and Trade Violations
FCPA Compliance Report: Revolutionizing Speak Up: Ariel D. Weindling on Enhancing Whistleblower Systems
Sunday Book Review: June 8, 2025, The Books on AI Governance Edition
10 For 10: Top Compliance Stories For the Week Ending June 7, 2025
2 Gurus Talk Compliance: Episode 53 – The AI as a Whistleblower Edition
Compliance Tip of the Day: Internal Controls for Third Parties
Compliance Tip of the Day: Implementing Internal Controls
Great Women in Compliance: From Hotline to Headline: The DOJ’s Whistleblower Awards Reboot with Mary Inman and Liz Soltan
Compliance into the Weeds: Autonomous AI Whistleblowing Misconduct
Daily Compliance News: June 4, 2025, The Climate Disaster Management Edition
Adventures in Compliance: The Novels – The Sign of Four, Introduction and Compliance Lessons Learned
Daily Compliance News: June 2, 2025, The Unintended Consequence Edition
Episode 371 -- DOJ's New Corporate Enforcement Program
Corporate Divorce – Preventing and Managing the Break-Up of a Business Partnership
Disruption, volatility, and uncertainty aren’t new operating conditions by any means. But the assumptions that have long driven corporate thinking—the role of government, geopolitical norms, and consistency in US policies as...more
Artificial intelligence (AI), particularly generative AI, thrives on vast amounts of data, fueling AI capabilities, insights, and predictions. But with this reliance on data comes potential privacy and security risks. And...more
There has been an increase in enforcement action and strategies relating to cybercrimes, supply-chain related offenses, VAT fraud, corruption, and money laundering. A significant shift has been prompted by the EU Corporate...more
Cybersecurity compliance, governance, and disclosure practices have evolved significantly over the past decade. As we have noted in prior blog posts, the U.S. Securities and Exchange Commission is requiring cybersecurity...more
Regulators and enforcement authorities in Australia intensified their efforts to curb white-collar crime in 2023. They targeted fraud, money laundering, tax evasion, cybercrime, and corruption across multiple industries,...more
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: • The SEC’s announcement of its Fiscal Year 2023 enforcement...more
Understanding and managing insider risks is not a new discipline. The manifestation of insider-related risks can be disastrous but the fact that these events are caused by people inside an organization rarely receives enough...more
On February 17, 2022, Deputy Attorney General (DAG) Lisa Monaco announced a significant step in advancing its cryptocurrency-related enforcement priorities by naming the first leader of the National Cryptocurrency Enforcement...more
The United States Treasury Department’s Financial Crimes Enforcement Network (FinCEN) will hold a second FinCEN Exchange in August to discuss ways to combat increasingly sophisticated cyber and ransomware attacks. The FinCEN...more
On October 1, 2020, the Financial Crimes Enforcement Network (FinCEN) issued an advisory to alert Financial Institutions (FI) relating to “predominant trends, typologies, and potential indicators of ransomware and associated...more
The Cybersecurity and Infrastructure Security Agency (CISA) teamed up with the Federal Bureau of Investigation (FBI) to issue a joint warning of cyber-attacks emanating from Iran and targeting U.S. federal agencies and...more
The Financial Conduct Authority has published a "Dear CEO" letter addressed to wholesale market broking firms highlighting its view of the key risks of harm that such brokerage firms pose for their clients and markets and the...more
The purpose of this short paper is to ‘join the dots’ between a director’s fiduciary duties and especially a person holding dual or multiple directorships and trade secrets....more
Just how many counts of fraud attacks occurred in the first quarter of 2018? These results from ThreatMetrix uncovered some alarmingly high numbers, including...more
Highlights Areas of High Risk and Examination Priorities for Financial Industry Firms - On September 15, the U.S. Securities and Exchange Commission’s (SEC’s) Office of Compliance, Inspections and Examinations (OCIE),...more