Audit Board

DECEMBER 7, 2022

On your connected risk journey, careful planning and guidance from audit, risk management, and compliance professionals are essential for business success when facing risk challenges such as digital transformation, climate change, supply chain disruption, and economic uncertainty.

Start-ups 52

Start-ups Compliance Specific Risk Technology 52

Audit Board

APRIL 13, 2023

They can begin by better understanding and prioritizing their companies’ risks through the lens of my IRM Navigator model, which identifies four universally applicable risk management objectives of P erformance, R esilience, A ssurance, and C ompliance (PRAC). We’ll take an in-depth look at performance and resilience below.

Compliance 52

Compliance Start-ups Technology Specific Risk 52

Reynolds Holding

MARCH 28, 2024

Among other requirements, the Proposed Rule would require RIAs and ERAs to (1) develop and implement anti-money laundering compliance programs (within 12 months after the effective date of a final rule) and (2) monitor for and report suspicious activity to FinCEN.

Compliance 45

Compliance Banking Treasury Venture Capital Fund 45

Audit Board

SEPTEMBER 7, 2023

What does “good” ESG governance and strategy look like, and how are companies integrating it with existing risk and compliance governance structures? Hear From Leaders: Deloitte’s “ Controllership strategies for ESG reporting ” Legal or General Counsel: Advises on understanding/mitigating ESG risks (e.g., Who should own it?

Compliance 52

Compliance Start-ups Specific Risk Marketability 52

Audit Board

OCTOBER 23, 2023

Orient Your Mandate to Better Manage Risk From whatever perspective that you’re reading this, “orient” is a critical first step to understand the scope of risks you’re assessing and your function’s mandate with respect to managing those risks.

Compliance 64

Compliance Specific Risk Technology 64

Cooley M&A

OCTOBER 29, 2018

In reaching these holdings, the court found that: the target’s business experienced a “dramatic, unexpected and company-specific downturn” shortly after signing due in part to “serious and pervasive data integrity problems” that adversely impacted the target’s regulatory compliance.

Compliance 52

Compliance EBITDA Specific Risk Marketability 52

Audit Board

APRIL 20, 2023

Reviewing and Scanning Third Parties — and Tracking Outcomes Categorization schemes may vary from one organization to the next, and approaches to reviewing third-party relationship risk can vary too — from one organization to the next, and from one risk category to the next.

Specific Risk 52

Specific Risk Technology Compliance 52

Internal Audit 360

DECEMBER 21, 2022

Ensure compliance with regulations. Experience managing SOX compliance. Still, every internal audit function needs to adjust the generic stated mission of internal audit to the company’s context: Specific risks and opportunities, legal requirements, culture-specifics, and tone at the top. Is it really needed?

Start-ups 52

Start-ups Compliance Specific Risk 52

Reynolds Holding

JULY 25, 2024

In a recent study, we examine the role of industry-specific risks and propose that a firm’s choice to include non-financial metrics in executive incentive plans is a strategic response to heightened regulatory scrutiny and reputational concerns within a firm’s industry.

Specific Risk 45

Specific Risk Compliance Marketability 45

Reynolds Holding

FEBRUARY 20, 2023

The proposed rule would provide that risk-mitigating hedging arising out of securitization activities (including the origination or acquisition of assets that are to be securitized) would be permitted only if: (1) at the inception of the hedging activity and at the time of any subsequent adjustments, the hedging activity is designed to “reduce or otherwise (..)

Marketability 45

Marketability Compliance Specific Risk 45

Reynolds Holding

NOVEMBER 13, 2023

The high-level framework set out in the Climate Principles is intended to assist banking organizations in managing climate-related financial risks (i.e., physical risk and transition risk). [1] The Climate Principles also cover a range of specific risk areas (e.g.,

Banking 40

Banking Specific Risk Compliance Technology 40

Appraiser Newsroom

JUNE 4, 2024

These services include independent valuations for corporate transactions, agency perpetuation, buy-sell agreements, financial reporting, tax compliance, and buy or sell side consulting services. He has approximately 20 years of experience as a professional in the finance industry.

Business Valuation 59

Business Valuation Intangible Assets Appraisal Finance 59

Erik A. Lopez

SEPTEMBER 23, 2015

First, it qualifies ( i.e. , limits) various seller representations, warranties and covenants , establishing a relatively high threshold for disclosure or compliance relating to risks associated with changes in the target’s business. MAE serves two primary functions in a transaction agreement.

Net Debt 52

Net Debt EBIT Marketability Specific Risk 52

Harvard Corporate Governance

AUGUST 21, 2023

Data privacy risk is a major concern with generative AI, since user data is often stored to improve the quality of data. Compliance risks arising from the rapidly evolving global regulatory environment. Increased cybersecurity risks. Monitoring and complying with evolving AI legislation must be a priority for management.

Compliance 189

Compliance Technology Start-ups Specific Risk 189

Equilest

JULY 25, 2023

Q 7 : Are there any specific risks associated with owning a convenience store in a pandemic or post-pandemic environment? A 7 : Yes, owning a convenience store during a pandemic or in a post-pandemic environment comes with its unique set of risks and challenges.

Intangible Assets 40

Intangible Assets Discounted Cash Flow Business Valuation Marketability 40

Reynolds Holding

MAY 23, 2023

Despite the investor protections recently enacted under the ’33 and ’34 Acts, there still were specific risks to investors who were dealing with investment advisers and investment companies. [3] 2] They identified, though, a set of failures with the funds of those days.

Banking 40

Banking Technology Marketability Capital Structure 40

Harvard Corporate Governance

NOVEMBER 21, 2022

Impact of COVID-19 : As we enter the third year of the pandemic, it may still be too early to entirely eliminate COVID-19 specific risk factors, but companies may be able to significantly streamline their disclosures. ” (go back). ” (go back). ” (go back). ” (go back). ” (go back). ” (go back).

Technology 249

Technology Marketability Compliance Specific Risk 249

Reynolds Holding

MARCH 27, 2023

As we reported in our 2017 Year-End Securities Litigation Update and 2019 Mid- Year Securities Litigation Update , a Caremark claim generally seeks to hold directors personally accountable for damages to a company arising from their failure to properly monitor or oversee the company’s major business activities and compliance programs.

Technology 59

Technology Start-ups Compliance Finance 59

Reynolds Holding

OCTOBER 5, 2022

The court ultimately held for the defendants, finding that the bylaws were “validly enacted on a clear day,” and the board “did not unfairly apply” them or make “compliance [with them] difficult.” 2. Failure To Disclose Specific Risks. B. Court Of Chancery Offers Guidance On “Vague” Schnell Standard. In Coster v.

Start-ups 56

Start-ups Marketability Equity Compliance 56

Reynolds Holding

NOVEMBER 8, 2022

The Blueprint does not include many new ideas for AI compliance. But unlike many of those guidelines, it takes a rights-based approach that is focused on AI’s potential harm, rather than a risk-based approach, which means that the Blueprint’s recommendations apply to all covered automated systems, largely regardless of their risk.

Compliance 49

Compliance Specific Risk Equity Technology 49

Audit Board

AUGUST 16, 2023

Targeted risk management practices like ORM and SCRM have risen to address emerging areas of risk, with those disciplines focused on mitigating risks associated with operations and the supply chain. Common types of risks include: strategic, compliance, financial, operational, reputational, security, and quality risks.

Start-ups 52

Start-ups Compliance Technology Specific Risk 52

Reynolds Holding

MARCH 27, 2024

In his speech on the same day the Proposal was released, CFPB Director Chopra was somewhat more pointed, stating that the FDIC “will carefully evaluate the banks’ compliance records, especially with respect to consumer law. The agency will consult with the relevant state and federal authorities, including the CFPB.

Banking 45

Banking Marketability Specific Risk Finance 45

Internal Audit 360

FEBRUARY 29, 2024

The causes of a corporate scandal are also far too predictable: failures in corporate governance, poor risk management, compliance failures, unreliable intelligence, inadequate security, insufficient resilience, ineffective controls, and failures by assurance providers.

Technology 69

Technology Compliance Specific Risk Finance 69

Reynolds Holding

AUGUST 9, 2023

However, they would need to continue calculating risk-based capital ratios assets under the existing Standardized Approach, and use the lower ratio (i.e., higher amount of RWAs) of the two when determining compliance with the regulatory capital requirements (see graphic below).

Banking 52

Banking Market Risk Marketability Finance 52

Reynolds Holding

FEBRUARY 1, 2023

The Executive Order specifically instructs CFIUS to consider the following national security factors: the effect on the resilience of supply chains, potential harm to U.S. technological leadership in areas that impact U.S. persons.

Equity 45

Equity Finance Technology Banking 45

ThomsonReuters

DECEMBER 27, 2024

Compliance with these GAAP requirements during financial audits is essential to maintaining the integrity of financial statements. Additionally, auditors need to understand the specific risks associated with cryptoassets. What should accountants look for in cryptocurrency audit software?

Accounting Firms 52

Accounting Firms Compliance Specific Risk Technology 52

Reynolds Holding

DECEMBER 22, 2024

With increasing regulatory scrutiny on the financial services industry and concerns over money laundering vulnerabilities, this rule will affect how RIAs engage with clients, manage risks, and uphold compliance. Furthermore, RIAs and ERAs will become directly responsible for any failures to meet applicable BSA standards. [3]

Compliance 45

Compliance Finance Banking Specific Risk 45

Reynolds Holding

MAY 13, 2024

Automakers in the EV space should revisit and update their third-party due diligence procedures, and other compliance measures, to mitigate corruption risk in their battery supply chains. DOJ has repeatedly expressed the importance of tailoring compliance programs to the specific risks that a company faces.

Compliance 53

Compliance Specific Risk Marketability 53

Reynolds Holding

DECEMBER 22, 2024

That legal requirement promotes legal compliance in its own right, while also providing a mechanism for holding fiduciaries accountable when they knowingly cause an entity to violate positive law. Controllers may limit managerial agency costs, but their self-interest produces so-called controlling shareholder agency costs. [2] Derivative.

Dividends 45

Dividends Compliance Marketability Firm-specific Risk 45

Reynolds Holding

NOVEMBER 17, 2024

6] While most event contracts traded on DCMs are subject to cursory review by the CFTC for compliance with general contract listing standards, Congress amended the CEA in 2010 to authorize more detailed CFTC review of certain categories of DCM-listed event contracts to determine whether they are consistent with public interests. [7]

Marketability 45

Marketability Finance Compliance Specific Risk 45