Enterprise
FCPA Disgorgement and Restitution: The Impact of the Recent Supreme Court Decision
The main reason that companies choose to participate in the FCPA’s voluntary disclosure program is…
How Brokerage Firms Can Use RRA to Reduce Liability for Insider Trading
If you keep an eye on the financial news, you might notice a trend. It seems that more and more…
How FCPA Enforcement Can Impact Overseas Clients
It can take a long time for the Supreme Court to decide on something. It makes sense, since it’s…
Understanding FINRA’s Fine Mitigation Program For Extraordinary Cooperation
Most financial authorities in the US offer mitigation programs for firms that choose to cooperate…
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…
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…
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,…
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…
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.…
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…
How the Third Offset Strategy Leverages Public-Private Partnerships
When most people hear about public-private partnerships, they think of things like baseball…
Building an Enterprise Risk Management Framework for Companies of All Sizes
When you assess risk for a living, probably the biggest thing you see is how unprepared companies…