sec enforcement

SEC Enforcement and Compliance Priorities 2015

SEC enforcement actions have been on the rise for some time, a pattern that's only likely to continue given recent developments. The agency is more willing than ever to take cases to court, and last year saw the single largest whistleblower award to date. Bradley Bondi, SEC compliance and enforcement expert, outlines the agency's focus for 2015.

Niccolo Machiavelli

Machiavelli for Chief Compliance Officers

Last year was the 500th anniversary of the publication of one of the most significant books on political theory ever written, The Prince, by Niccolò Machiavelli. Just how evil do many people view the treatise as? Consider that this book alone is responsible for bringing the word “Machiavellian” ...

investigation protocol

What is Your Board’s Investigation Protocol?

Many companies have an investigation protocol in place when a potential Foreign Corruption Practices Act (FCPA) or other legal issue arises. However, many Boards do not have the same rigor when it comes to an investigation, which should be conducted or led by the Board itself.


To Snitch or Not to Snitch….

We know that a co-worker has taken sensitive information. Do we report this or not? Most people might want to report it but either don’t know who to speak with or have a hard time identifying whether or not this is truly something that needs to be reported.