Posts tagged as:

SEC

While many organizations view whistleblowers as disgruntled employees looking for revenge and monetary rewards from the SEC, this is generally not the case, according to a recent study. According to “Embracing Whistleblowers: Understand the Real Risk and Cultivate a Culture of Reporting,” by The Network, whistleblowers most often turn to the U.S. Securities and Exchange […]

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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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