Compliance into the Weeds-Episode 47
In this episode, Matt Kelly and I take a deep dive into the Dodd-Frank and Sarbanes-Oxley reform initiatives in the House of Representatives and as articulated by incoming SEC Chairman Jay Clayton. Wi...
26 Heinä 201726min
Day 16 of One Month to More Effective Internal Controls
The Integrated Framework (Framework Volume) recognizes that “every entity faces a variety of risks from external and internal sources.” This objective is designed to provide a company with a “dynamic ...
25 Heinä 201711min
12 O'Clock High-a Podcast on Business Leadership
In this episode, Richard Lummis and I explore leadership lessons from Toussaint Louverture, who held the only successful slave revolt in the Western Hemisphere. Our remarks are based on the recent bio...
25 Heinä 201717min
Day 15 of One Month to More Effective Internal Controls
The updated Framework retained the core definition of internal controls; those being control environment, risk assessment, control activities, information and communication, and monitoring activities....
24 Heinä 201712min
FCPA Compliance Report-Episode 343, James Koukios
In this episode I visit with James Koukios, a partner at Morrison and Foerster on the firm’s newsletter, Top Ten International Anti-Corruption Developments for May 2017. Our topics include: FCPA A...
24 Heinä 201722min
Day 14 of One Month to More Effective Internal Controls
This week we turn our attention to COSO, with an introduction to the organization and its framework for internal controls. I will go through the internal controls and how they relate to compliance. Fi...
23 Heinä 201711min
This Week in FCPA-Episode 62
This week, Jay and I return for a wide-ranging discussion on some of the week’s top compliance and ethics related stories, including: Will Canada approve DPAs for use in anti-corruption prosecution...
21 Heinä 201730min
Day 13 of One Month to More Effective Internal Controls
Last year, one of the most interesting non-Foreign Corrupt Practices Act (FCPA) enforcement actions was announced by the Securities and Exchange Commission (SEC). It involved a clear quid pro quo bene...
21 Heinä 201713min
