Fighting Emerging Threats in the Third Offset Strategy With Emerging Technology Some threats that come from conflicts will always be the same. There will always be the threat that the enemy has a larger population or more expansive landmass. There’s the threat of alliances which could create an enemy that’s overpowering or the…
What FINRA Sanction Updates Mean for Your Financial Firm If you’re in finance, then you probably know that FINRA has recently updated its guidance on sanctions. While a lot of it can be pretty dry reading, it’s necessary to understand so you can get your own compliance department on board. The new changes to…
Reducing Your Risk In Workers’ Compensation Cases With Better Triaging and RRA Workers compensation claims can bankrupt a company. I remember it nearly happening to an old acquaintance of mine. He ran a mid-size accounting firm that was very successful. Then, one of his employees slipped on the stairs and applied for workers’ comp.…
The DOJ FCPA Pilot Program: Best Practices, Benefits, and Risks of Cooperation In an ideal world, a company could simply disclose mistakes they have made that violated the FCPA, disgorge assets from the deal, and that would be the end of it. However, that’s not the case in today’s complex financial environment. It’s very…
How Companies Can Avoid FINRA and FCPA Violations If you watch the financial news, then you’ve seen a lot about Venezuelan bonds recently. That’s because more than a few firms suspended trading on these bonds, Morgan Stanley included. There was a particularly prevalent case in the media, that of ex-trader John Batista Bocchino, that…
Creating a Risk Matrix to Proactively Reduce Business Threats “Planning for risk” may sound like a contradiction of terms, but it’s something everyone does. People generally don’t face a lot of individual risk, so it’s easy to manage the risks we know about. We get health insurance to cover illnesses and life insurance to protect…
How to Reduce the Risk Of Employee Theft By Getting to the Root of the Problem “Why would they steal from us? We were so good to them!” That’s one of the first things I hear out of a business owner’s mouth when they discover employee theft. Just about anyone who’s been a victim of…
How Offset Strategies Use Deterrence Theory and Technology to Preserve Peace The term “offset strategies” usually conjures thoughts and ideas about the ways the US military wages war. But, that perception misses a significant aspect of offset strategies. The main goal of these strategies is to never go to war in the first place.…