Daily Archives: May 28, 2014, 3:39 pm

What Does an Effective Compliance Program Look Like? – The Regulators Perspective | FCPA Compliance and Ethics Blog

Over the years, we have heard various formulations of inquiries that regulators might use when reviewing a compliance program. While not exactly a review of a compliance protocol, one of my favorites is what I call McNulty’s Maxims or the three questions that former United States Deputy Attorney General, and now former Baker & McKenzie LLP partner, Paul McNulty said…

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Unrepentant Joe Nacchio blames feds for Qwest’s financial collapse – The Denver Post

In his first local media interview, and third overall since becoming a free man, Nacchio told CBS4 News reporter Rick Sallinger that Qwest shareholders, employees and retirees should blame the federal government for their losses after the company’s stock tanked more than a decade ago. via Unrepentant Joe Nacchio blames feds for Qwest’s financial collapse – The Denver Post

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Cybersecurity Crackdown — ThinkAdvisor

Think that your firm is too small or that your cyberdefenses are too strong to worry about digital attacks on your firm’s—and your clients’—data? The SEC and FINRA don’t think so. A reading of the regulators’ official announcements and the insights of those who know how they operate suggest that advisors run the risk not only of compromised data but…

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