Category Archives: Officers Liability

Chrisley, Other Felony Tax Prosecutions Highlight Growing Tax Criminal Prosecution Risks


Christley tax prosecution, other convictions show advisability of cleaning up and avoiding new employment, income and other tax violations. Continue reading

Posted in bank secrecy act, Board of Directors, CEO, CFO, Compliance, D&O, Director Liability, Employee Benefits, FinCEN, management, Officers, Officers Liability, patriot act, Performance Management, Risk Management, Uncategorized, Workforce | Leave a comment

Rene Augustine Named DOJ Antitrust Division Acting Deputy Assistant Attorney General Responsible for International and Policy


Zurich’s $5.1 million tax penalty reminds US businesses involved in international transactions to comply with US cross border reporting and tax requirements Continue reading

Posted in bank secrecy act, Board of Directors, CEO, CFO, Compliance, D&O, Director Liability, Employee Benefits, FinCEN, management, Officers, Officers Liability, patriot act, Performance Management, Risk Management, Uncategorized, Workforce | Comments Off on Rene Augustine Named DOJ Antitrust Division Acting Deputy Assistant Attorney General Responsible for International and Policy

$5.1 Million Zurich Life Tax Settlement Highlights International Reporting Noncompliance Risks


Zurich’s $5.1 million tax penalty reminds US businesses involved in international transactions to comply with US cross border reporting and tax requirements Continue reading

Posted in bank secrecy act, Board of Directors, CEO, CFO, Compliance, D&O, Director Liability, Employee Benefits, FinCEN, management, Officers, Officers Liability, patriot act, Performance Management, Risk Management, Uncategorized, Workforce | Leave a comment

12/17 Deadline to Comment on EPA’s Proposed Improvements to Methane Rule Governing New Oil and Gas Sources


12/17 Deadline to Comment on EPA’s Proposes Improvements to Methane Rule Governing New Oil and Gas Sources Continue reading

Posted in bank secrecy act, Board of Directors, CEO, CFO, Compliance, Director Liability, FinCEN, management, Officers, Officers Liability, patriot act, Uncategorized | Leave a comment

11/27 Deadline To Comment On Proposed SBA Express Loan Programs and Affiliation Programs Rule Changes


11/27 Deadline To Comment On Proposed SBA Express Loan Programs and Affiliation Programs Rule Changes Continue reading

Posted in bank secrecy act, Board of Directors, CEO, CFO, Compliance, Director Liability, FinCEN, management, Officers, Officers Liability, patriot act, Uncategorized | Leave a comment

FinCEN Warns US Businesses & Individuals Of corruption Related Risks Of Nicaraguan Investments or Dealings


FinCEN Warns US Businesses & Individuals Of corruption Related Risks Of Nicaraguan Investments or Dealings! Continue reading

Posted in bank secrecy act, Board of Directors, CEO, CFO, Compliance, Director Liability, FinCEN, management, Officers, Officers Liability, patriot act, 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

Use Lessons Of Past Mistakes or Injustice To Build Better Future


Moving beyond mistakes & injustice Continue reading

Posted in Board of Directors, CEO, CFO, Compliance, Director Liability, discrimination, Employment, Fiduciary Responsibility, Internal Controls, Labor Relations, Leadership, Officers Liability, Performance Management, Uncategorized, Workforce, Workforce Management | Leave a comment

Leadership Starts & Ends At The Top


Business leaders expecting better ethical, legal and operational compliance and leadership achieve their goals easier when leaders lead by example.   Recent media coverage of sexual harassment and other transgressions by senior management at Fox News, Uber, Enron and a … Continue reading

Posted in Board of Directors, CEO, CFO, Compliance, D&O, Director Liability, Director Liabiloity, Internal Controls, Leadership, Officers, Officers Liability, Performance Management, Risk Management, Workforce Management | Leave a comment

Take Your Preventive Medicine


Better planning and management can head off most but not all problems. Sometimes stuff happens even when you do everything right. Either way, better management usually minimizes the damage and makes it easier to clean up the mess. It’s never … Continue reading

Posted in Bankruptcy, Board of Directors, CEO, CFO, Compliance, Cyber, D&O, Data Security, Director Liability, E&O, Employee Benefits, Employment, ESOP, Fiduciary Responsibility, Fraud, Health Plans, Internal Controls, Labor Relations, Leadership, M&A, Officers, Officers Liability, Performance Management, Privacy, Reductions In Force, Reengineering, Retirement Plans, Risk Management, Shareholder Liability, Stock Plans, Tax, Teaming, Turnaround Management, Workforce Management | Tagged , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment