Category Archives: Compliance

IRS Warns About Refund E-Mail Scam


In an April 9 news release, the IRS identifies a new bogus email pretending to be from “IRS Refunds,” and containing a link that connects to a fake page where thieves try to steal personally identifiable information, such as Social … Continue reading

Posted in Board of Directors, CEO, CFO, Compliance, Cyber, data breach, Fraud, Leadership, Privacy, Uncategorized | Leave a comment

Manage Better By Managing Emotion In Messages


Consciously manage the emotion in your message to manage others better. Research shows people don’t actually respond to language that’s positive or negative. They respond to language that’s emotional. Emotion in language can motivate or alienate, deliver criticism or coaching, … Continue reading

Posted in Arbitration, Board of Directors, CEO, CFO, Compliance, Director Liability, Dispute Resolutuon, Employment, Fiduciary Responsibility, Internal Controls, Labor Relations, Leadership, management, Officers, Performance Management, Reductions In Force, Risk Management, Workforce, Workforce Management | Leave a comment

Secure Devices With Auto-Tracking


Secure devices using mobile tracking. Continue reading

Posted in Compliance, Cyber, data breach, Data Security, Privacy, Risk Management | Tagged , , | Leave a comment

Corporations As Human Bodies


People too often characterize corporation as if they are some amorphous entity disconnected from humanity. This is a mistake. Corporations by their very essence are collections of people interacting with and impacting other groups of people.. People run them. People … Continue reading

Posted in Board of Directors, CEO, CFO, Compliance, Employment, Internal Controls, Labor Relations, Leadership, Stock Plans, Uncategorized | Leave a comment

Check Patriot Act Controls For New FinCEN Rules Targeting North Korea Connected Transactions


Banks and other financial institutions need to review their current USA PATRIOT Act procedures and safeguards in response to an alert and a new final rule relating financial institutions published by the U.S. Department of the Treasury’s Financial Crimes Enforcement … Continue reading

Posted in bank secrecy act, Compliance, Cyber, Data Security, Internal Controls, Officers, Officers Liability, patriot act, Uncategorized | Leave a comment

Reconstruct Records After a Disaster


Are you trying to help your business or family clean up the mess and recover from a hurricane, flood, fire or other disaster? Reconstructing records to prove a loss for tax purposes, getting federal assistance, or insurance reimbursement often is … Continue reading

Posted in CEO, CFO, Compliance, Internal Controls, Risk Management, Tax, Uncategorized | Leave a comment

Hurricane Impacted Financial Institutions Tell FinCEN If BSA Reports Delayed


FINRA Reporting by Hurricane Impacted Financial Institutions
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Posted in bank secrecy act, Bankruptcy, Board of Directors, CEO, CFO, Compliance, Director Liability, Internal Controls, Officers, Tax, Uncategorized | Tagged , , , , , , , , , , , , | Leave a comment