Tags » Internal Controls

Conflict with privacy rights

An employer wants to know that the employee is fit for duty.  The employee doesn’t want the employer to know he’s being treated for an illness that may or may not affect his or her ability to perform on the job.  84 more words


Reviewing presentations

Why do organizations have policies that require internal review of presentations to outsiders?  What about review of internal presentations?

Merrill Lynch Fined Over Presentation,” … 46 more words


Miss Marple Short Stories and SEC Enforcement of the FCPA, Part V - Final Thoughts

I conclude my week of exploration of Agatha Christie’s Miss Marple short stories and the Securities and Exchange Commission’s (SEC) enforcement of the Foreign Corrupt Practices Act (FCPA) by reviewing some of the new things I’ve learnt during this week of research. 1,675 more words


Ingots of Gold & SEC FCPA Enforcement - Communication - Part IV

Today I want to use the Christie’s story Ingots of Gold as an introduction to some of the regular communications that the Securities and Exchange Commission (SEC) representatives frequently provide in public forums, regarding their views on Foreign Corrupt Practices Act (FCPA) enforcement and, more importantly for the compliance practitioner, FCPA compliance. 1,548 more words