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Tag Archives: Risk Management
Automobile & Other Motor Vehicle Businesses Must Prepare For New FTC Rules
Automobile and other impacted motor vehicle businesses (“should begin preparations to comply with newly proposed Federal Trade Commission rules targeting certain motor vehicle seller’s marketing, sales, leasing and financing practices set forth in the recently published FTC Motor Vehicle Dealers Trade Rule Notice of Proposed Rulemaking (“Proposed Rule”) as well as submit any relevant comments on the Proposed Rule by the September 12, 2022 comment deadline. Continue reading
Live Nation & Radio Music License Committee Targeted In Justice Department Antitrust Activity
Justice Department entertainment industry enforcement action to protect ticketholders & competitors highlights new general antitrust enforcement activism Continue reading
Posted in antitrust, Compliance, Cyber, Data Security, Fair Debt Collection Practices Act, Fair Debt Collections Act, Fraud, Internal Controls, marketing, Privacy, Risk Management, Uncategorized
Tagged Compliance, Employer, Internal Controls, Live Nation, Radio, Risk Management, Ticketmaster
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Robocall Law Raises Fines, Tightens Requirements
Robocallers could be fined up to $10,000 and telephone and other voice providers will face more responsibility to identify and stop the burgeoning robocall epidemic under a bill passed by Congress and awaiting President Trump’s signature. The new rules offer … Continue reading
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 Bankruptcy, CFO, Compliance, Corporate Compliance, Fiduciary Liability, Fiduciary Responsibility, financial institution, Hurricane, Internal Controls, management, officers liability, Reporting, Risk Management
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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 Bankruptcy, CFO, Compliance, directors liability, Employer, employment, ERISA, facebook, Federal Sentencing Guidelines, Fiduciary Liability, Fiduciary Responsibility, health plans, Human Resources, inspiration, Internal Controls, labor law, Leadership, officers liability, quotes, Risk Management, risk managmenet, Sarbanes-Oxley, social media, Sox
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10 Practical Pointers To Use Law To Better Strengthen The Legal Defensibility Of Your Business & Its Leaders
Businesses and their leaders struggling to managing the ever-changing and constantly growing regulatory and other legal risks inherent in operating a business in today’s litigation and enforcement-charged environment often miss invaluable opportunities by failing to take certain basic steps that strengthen their liability defenses and the effectiveness of their risk management and compliance efforts.
While each organization and leader needs to carefully tailor its organizational risk management and compliance programs to meet the unique needs and challenges of its operations, all risk management and compliance efforts generally should incorporate and operate on at least each of the following 10 Corporate Governance processes:
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Posted in Bankruptcy, Board of Directors, CEO, CFO, Compliance, D&O, Data Security, Deferred Compensation Plans, Director Liability, Director Liabiloity, Employee Benefits, Employment, Fiduciary Responsibility, Fraud, Health Plans, Internal Controls, Labor Relations, M&A, Officers Liability, Privacy, Reductions In Force, Reengineering, Retirement Plans, Risk Management, Shareholder Liability, Stock Plans, Tax, Turnaround Management
Tagged Attorney-Client Privilege, Board of Directors, CEO, CFO, Compliance, Compliance Plan, Corporate Compliance, Corporate Governance, Fiduciary Liability, General Counsel, Internal Control, Risk, Risk Management
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Money Services Business Pays $45K CMP For Violating BSA Reporting Requirements
Mian, Inc., doing business as Tower Package Store, a money services business (MSB) is learning an expensive of the risks of failing to report cash transactions and other anti-money laundering (AML) requirements of the Bank Secrecy Act (BSA). It’s paying … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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FFI List Search and Download Tool Added To FATCA Website
The FFI List Search and Download Tool located on the FATCA Website is now available. Use the Search and Download Tool to find out if a Foreign Financial Institution (FFI) has registered. Download an entire list of Financial Institutions or … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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June 16 Deadline Nears for Taxpayers Living Abroad; June 4 IRS Webinar Can Help Those Reporting Foreign Accounts
Taxpayers abroad qualifying for an automatic two-month extension must file their 2013 federal income tax returns by Monday, June 16, according to the Internal Revenue Service. The June 16 deadline applies to U.S. citizens and resident aliens living overseas, or … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Update ESOPs For New Investment Diversification Guidance
Fiduciaries, administrators, sponsors, advisors, trustees and others with involvement or responsibility for Employee Stoc Option Plans(ESOPs) should review these rules and ensure that appropriate steps are taken to update their plan terms and practices to comply with new rules scheduled to be published in the Internal Revenue Bulletin on May 13, 2013 by the Internal Revenue Service concerning investment diversification.
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Posted in CEO, D&O, Deferred Compensation Plans, Director Liabiloity, Employee Benefits, Employment, ESOP, Health Plans, Internal Controls, Officers, Reengineering, Retirement Plans, Stock Plans, Tax
Tagged company stoc, Deferred compensation, diversification, ESOP, investment, Retirement Plan, Risk Management, stock
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Cynthia Marcotte Stamer
Risk Operations Compliance 