• Conducting database screening for third party compliance

    Managing the compliance of third parties is a major undertaking for corporations. Many large companies have tens of thousands of partners globally; agents, distributors and sundry other types of suppliers. This is in addition to the myriad risks that must be managed, such as corruption, money laundering, export control management...

  • Rotting from the top

    This has got to be one for the books.

  • Comprehensively compliant

    Volkswagen is in the midst of an ethical and compliance nightmare after revelations surfaced about the company tampering with emissions software.

  • Vexing vendors?

    On April 13, 2012, the Consumer Financial Protection Bureau (CFPB) issued Advisory Bulletin 2012-03, which addresses vendor management rules and processes that are required to be used by supervised non-banks (See 12 U.S.C. §§ 5514-16). The bulletin requires covered non-bank consumer finance companies to develop and implement policies for risk...

  • The Yates Memo: Friend or foe to compliance officers?

    Last month, newly appointed Deputy Attorney General (DAG) Sally Quillian Yates spoke at New York University (NYU) School of Law about the Department of Justice’s ongoing focus on individual prosecutions. A seasoned prosecutor with a number of high-profile white collar cases under her belt, DAG Yates reminded the room...

  • Avoiding the big surprise: Evaluating regulatory compliance prior to closing

    Evaluating regulatory compliance in the thick of a deal can be an art unto itself. Doing it well requires a critical look at the sophistication and risk maturity of the target company, as well as a deep dive into data demonstrating compliance with applicable regulatory standards.

  • Anti-corruption: Five ways to turn policies into practices

    You have developed a comprehensive set of anti-corruption policies and procedures, translated them into 25 languages and rolled them out to your employees and business partners. Now what? For most companies, anti-corruption compliance is well embedded among employees at headquarters. However, confidence in compliance drops when it comes to satellite...

  • Regulatory priority

    In many ways, 2014 was the Year of the Data Breach. That year saw cyber-events at the Home Depot, JPMorgan Chase and Sony Entertainment, and the trend followed into 2015, with healthcare providers and government agencies showing that they, too, are vulnerable to attack. All of the incumbent attention that...

  • The perils of mixing personal and professional email

    Businesses need clear-cut policies about separating private and company-related digital communications

  • Bringing cybersecurity under a protective umbrella (of privilege)

    Cybersecurity is rife with legal issues and legal liability risks for the enterprise. Those issues and risks are the subject of a vast and rapidly expanding literature.

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