Posts tagged as:

SEC

The fourth step of ORSA implementation, risk monitoring, control, and action plans illustrates the importance of adhering to best practices when executing risk culture and governance, identification and prioritization, and risk appetite and tolerances. With the necessary structure in place to track and collect risk intelligence, the next step involves orchestrating a plan for improvement. [...]

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Over at Risk Management, we have a new article on some of the considerations corporate officers must consider before blowing the whistle on their own companies. With the new SEC Whistleblower Program, there are some new nuances but the core advice remains the same as common sense would suggest: officers should first try to report [...]

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Business will never embrace regulation. The market yearns to be free and regulation, most of the time, places restrictions on unbridled capitalism. Some rules improve the competitive landscape for nearly all stakeholders, but that is the rare case. One constant problem regarding regulation is the question of who does the regulating. In order to provide [...]

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Regulators, particularly those within the SEC, took a lot of criticism for their inability to prevent the financial crisis in 2008. And rightly so. The complex CDOs and credit default swaps were all poorly regulated and this whole cottage industry that arose to, in essence, gamble on the real estate industry brought the global economy [...]

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