PRACTICE POINT: Cybersecurity - A CCO's Guide to What Regulators Expect
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Having sat through countless conference sessions and webinars focused on cybersecurity issues, I can say with 100% certainty that yours was the best I’ve seen. The practical/real world compliance angle separated it from all the others.
PRACTICE POINT: The Whistleblower Rule and A Preparation Checklist
Check out our presentation on Strategic Planning for Compliance and learn how to identify, prioritize, and manage risks using a 5-step process.
The SEC / CCO "Partnership": A Dangerous Idea
Actionable Whistleblower practices to help you save time and pass muster.
FREE TOOL: Risk and Compliance Committee Charter
Instead of "partnering" with CCOs, the SEC should call for CEOs to partner with their CCOs.
FREE TOOL: Statement of Professional Standards
Make better decisions together with well-designed governance. Start with a written committee charter to create consensus on the purpose, composition, rules of the road, and duties of the committee.
A written acknowledgment of professional standards serves to underscore the importance of confidentiality and the expected standard of care from compliance professionals.