Tag: CorporateCompliance

HIPAA Compliance for Business Associates: How to Gain and Retain Clients

Event, April 21, 2 p.m. EDT
Compliance Group will present a complimentary webinar on HIPA compliancy for business associates Thursday, April 21,

How Law Firms Should Strengthen Cybersecurity to Protect Themselves and Clients

Article
Law firms store a wealth of sensitive and confidential information electronically, making them prime targets for hackers. Not only does weak data security affect business development and client retention for firms, but can result in legal and ethical violations as well. How can firms meet clients’ increasing data expectations?

Secrets of an Ex–Lehman Exec: Erin Callan Opens Up About Flying High and Falling Hard

News
Erin Callan, Lehman Brothers’ former top woman executive, writes in a memoir about flying high and falling hard and how she “imbibed the Lehman Brothers Kool-Aid,” Vanity Fair reports.

The Latest Headlines and How to Keep From Becoming a Headline Yourself

On-Demand
Portland, Oregon-based Compli offers an on-demand webinar designed to help companies avoid unethical conduct that can drag them into news headlines, costing the companies dearly by impacting both their reputation and their bottom line.

Corporate Compliance in Health Care – Governance Oversight Change is Needed

Article
Corporate compliance could be in for some changes in 2016, based upon the events of 2015, forecasting increased self-policing, personal accountability for leaders, and physician arrangements as the top risk areas.

SEC Is Not ‘Targeting Compliance Professionals’

Article
Industry concerns about regulators targeting CCOs gained steam last summer after the SEC brought an enforcement action against BlackRock and its CCO in a case turning on the failure to disclose a conflict of interest and other compliance lapses.

Download: Strengthening Compliance and Ethics Oversight

White Paper
New U.S. Department of Justice emphasis on the effectiveness of compliance and ethics programs in preventing, detecting, and mitigating the risk of individual wrongdoing is raising the bar for companies’ compliance efforts.

Webinar – Navigating a Complex World: Ensuring Corporate Compliance Abroad

Event, March 3, 1 p.m. EST
Bloomberg BNA will present a complimentary 60-minute webinar March 3 in which experienced panelists will discuss how corporations can comply with laws in some of the most complex jurisdictions.

DOJ to Soon Issue Sample Questions on Corporate Compliance

Article
The Department of Justice plans to release a set of questions in the coming weeks that companies implicated in wrongdoing can expect to be asked by investigators concerning their compliance programs, reports Bloomberg BNA.

Goldman Sachs Bankers Said to Depart on Guidelines Breach

NEWS
Three bankers have left Goldman Sachs Group Inc. after the U.S. firm determined they breached internal guidelines in connection with the bank’s advisory role on the planned acquisition of a consumer company in the Middle East, reports Bloomberg News.

Morgan Stanley to Pay $3.2B Penalty in Securities Deal

NEWS
Morgan Stanley will pay a $2.6 billion penalty to resolve claims related to Morgan Stanley’s marketing, sale and issuance of residential mortgage-backed securities (RMBS), the Justice Department reported Thursday.

SEC Will Only Target Directors in Egregious Cases

NEWS
An SEC official sought to allay concerns voiced by corporations and their lawyers about the SEC enforcement cases against corporate directors and other gatekeepers, such as compliance officers, who may try to fix compliance problems and find themselves entangled in an agency investigation

What Lawyers Can Bring to the Governance Structure

Article
Boards of directors have traditionally been the bastions of CEOs, where business experience was paramount. But modern challenges to corporations suggest business-oriented attorneys – particularly those with GC experience – provide essential value and perspective