Category Archives: Officers

Leadership 2018


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Posted in Director Liability, Labor Relations, Leadership, Officers, Teaming, Turnaround Management, Uncategorized, Workforce, Workforce Management | 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

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

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

Businesses Must Prepare To Respond For Potential Data Breach To Timely Meet Notice & Other Response Duties


Businesses that experience data breaches affecting customer banking credit card, tax, social security or certain other personal financial or other sensitive information like those reported by like Chipotle, Target, Home Depot and a growing multitude of other businesses generally bear a legal … Continue reading

Posted in Board of Directors, CEO, CFO, Compliance, Cyber, D&O, data breach, Data Security, Director Liability, E&O, Employee Benefits, Employment, Fiduciary Responsibility, Fraud, Health Plans, Internal Controls, Leadership, Officers, Officers Liability, Performance Management, Privacy, Retirement Plans, Tax | Leave a comment

Supreme Court Ruling Boosts Arbitration Agreements’ Enforcability 


Employers and businesses should review their options to use arbitration and possible enhanced duty to arbitrate under arbitration agreements based on new SCOTUS Kindred Health decision. Continue reading

Posted in Arbitration, Board of Directors, CEO, CFO, Compliance, Data Security, Deferred Compensation Plans, Director Liability, Dispute Resolutuon, E&O, Employee Benefits, Employment, Fraud, Health Plans, Internal Controls, Labor Relations, M&A, Officers, Officers Liability, Performance Management, Privacy, Reductions In Force, Reengineering, Retirement Plans, Risk Management, Shareholder Liability, Stock Plans, Turnaround Management, Workforce Management | Tagged , , | Leave a comment