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Category Archives: Director Liability
ChatGPT and Other AI Tools Use As Discoverable Evidence in Litigation and Government Investigations: What Business Leaders Must Know
Use of AI can have significant evidence, document retention, and other consequences for organizations and their legal exposure. Organizations in their leaders need to manage the use of AI to manage these risks and obligations. Continue reading
Posted in AI, Board of Directors, CEO, CFO, Compliance, Cyber, Director Liability, discrimination, Document Retention, E&O, Employee Benefits, Employment, Evidence, Fiduciary Responsibility, FinCEN, Fraud, Internal Controls, Labor Relations, management, Officers, Officers Liability, Performance Management, Regulatory Affairs, Risk Management, Securities, sentencing guidelines, Uncategorized, Workforce
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4/24 Deadline To Respond To On DOJ/FTC Invite For Comments on Antitrust Policy
Comment on DOJ/FTC antitrust rules on competitor collaborations by 4/24 Continue reading
Public Companies Warned To Disclose Cyber Risks By $7 Million SEC Penalty
The $7 million in penalties the Securities and Exchange Commission (“SEC”) collected from four current and former public companies warns other public companies and their leaders of the growing risks of making materially misleading disclosures regarding cybersecurity risks and intrusions … Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, Cyber, D&O, data breach, Data Security, Director Liability, Director Liabiloity, FinCEN, Internal Controls, Leadership, management, Officers, Officers Liability, Performance Management, Privacy, Privacy, Risk Management, SEC, sentencing guidelines, Uncategorized
Tagged Compliance, cybersecurity, Data security, directors liability, Federal Sentencing Guidelines, Internal Controls, officers liability, Risk Management, Sarbanes-Oxley, Securities, solar winds, Sox
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New DOJ Voluntary Self-Disclosure Policy Alerts Organizations To Strengthen Sentencing Guideline Compliance Programs
Since the Federal Sentencing Guidelines are key determinants on the criminal liability and sentencing of organizations and their leaders for federal crimes committed by their organization or their employees, organizations and their leaders need to clearly understand the multitude of laws that could trigger their application and the practices necessary to position themselves and their organizations to mitigate liability in the event of a potential criminal violation. Continue reading
Posted in agriculture, antitrust, bank secrecy act, Bankruptcy, Board of Directors, CEO, CFO, Compliance, Cyber, D&O, Director Liability, Director Liabiloity, Employee Benefits, Employment, Fair Debt Collection Practices Act, Fair Debt Collections Act, fda, Fiduciary Responsibility, Government Contractor, Internal Controls, management, Officers, Officers Liability, Reductions In Force, Risk Management, Securities, sentencing guidelines, Tax, Uncategorized, Workforce Management
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DOJ Civil Cyber-Fraud Initiative Pressures Federal Contractors & Grant Recipients To Tighten Cybersecurity Controls, Training & Other Safeguards
Federal contractors and grant recipients face heightened need to fix cyber security and data breach compliance as targeted by new Justice Department Civil Cyber-Fraud Initiative. Continue reading
Posted in bank secrecy act, Board of Directors, Compliance, Cyber, data breach, Director Liability, Fair Debt Collection Practices Act, Fair Debt Collections Act, Fraud, Government Contractor, Internal Controls, Labor Relations, Leadership, Officers, Officers Liability, patriot act, Performance Management, Privacy, Privacy, Uncategorized
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Chrisley, Other Felony Tax Prosecutions Highlight Growing Tax Criminal Prosecution Risks
Christley tax prosecution, other convictions show advisability of cleaning up and avoiding new employment, income and other tax violations. Continue reading
Rene Augustine Named DOJ Antitrust Division Acting Deputy Assistant Attorney General Responsible for International and Policy
Zurich’s $5.1 million tax penalty reminds US businesses involved in international transactions to comply with US cross border reporting and tax requirements Continue reading
Posted in bank secrecy act, Board of Directors, CEO, CFO, Compliance, D&O, Director Liability, Employee Benefits, FinCEN, management, Officers, Officers Liability, patriot act, Performance Management, Risk Management, Uncategorized, Workforce
Comments Off on Rene Augustine Named DOJ Antitrust Division Acting Deputy Assistant Attorney General Responsible for International and Policy
$5.1 Million Zurich Life Tax Settlement Highlights International Reporting Noncompliance Risks
Zurich’s $5.1 million tax penalty reminds US businesses involved in international transactions to comply with US cross border reporting and tax requirements Continue reading
12/17 Deadline to Comment on EPA’s Proposed Improvements to Methane Rule Governing New Oil and Gas Sources
12/17 Deadline to Comment on EPA’s Proposes Improvements to Methane Rule Governing New Oil and Gas Sources Continue reading
11/27 Deadline To Comment On Proposed SBA Express Loan Programs and Affiliation Programs Rule Changes
11/27 Deadline To Comment On Proposed SBA Express Loan Programs and Affiliation Programs Rule Changes Continue reading
FinCEN Warns US Businesses & Individuals Of corruption Related Risks Of Nicaraguan Investments or Dealings
FinCEN Warns US Businesses & Individuals Of corruption Related Risks Of Nicaraguan Investments or Dealings! Continue reading
Manage Better By Managing Emotion In Messages
Consciously manage the emotion in your message to manage others better. Research shows people don’t actually respond to language that’s positive or negative. They respond to language that’s emotional. Emotion in language can motivate or alienate, deliver criticism or coaching, … Continue reading
Posted in Arbitration, Board of Directors, CEO, CFO, Compliance, Director Liability, Dispute Resolutuon, Employment, Fiduciary Responsibility, Internal Controls, Labor Relations, Leadership, management, Officers, Performance Management, Reductions In Force, Risk Management, Workforce, Workforce Management
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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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Use Lessons Of Past Mistakes or Injustice To Build Better Future
Moving beyond mistakes & injustice Continue reading
Leadership Starts & Ends At The Top
Business leaders expecting better ethical, legal and operational compliance and leadership achieve their goals easier when leaders lead by example. Recent media coverage of sexual harassment and other transgressions by senior management at Fox News, Uber, Enron and a … Continue reading
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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Businesses Must Prepare To Respond For Potential Data Breach To Timely Meet Notice & Other Response Duties
Businesses that experience data breaches affecting customer banking credit card, tax, social security or certain other personal financial or other sensitive information like those reported by like Chipotle, Target, Home Depot and a growing multitude of other businesses generally bear a legal … Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, Cyber, D&O, data breach, Data Security, Director Liability, E&O, Employee Benefits, Employment, Fiduciary Responsibility, Fraud, Health Plans, Internal Controls, Leadership, Officers, Officers Liability, Performance Management, Privacy, Retirement Plans, Tax
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Supreme Court Ruling Boosts Arbitration Agreements’ Enforcability
Employers and businesses should review their options to use arbitration and possible enhanced duty to arbitrate under arbitration agreements based on new SCOTUS Kindred Health decision. Continue reading
Posted in Arbitration, Board of Directors, CEO, CFO, Compliance, Data Security, Deferred Compensation Plans, Director Liability, Dispute Resolutuon, E&O, Employee Benefits, Employment, Fraud, Health Plans, Internal Controls, Labor Relations, M&A, Officers, Officers Liability, Performance Management, Privacy, Reductions In Force, Reengineering, Retirement Plans, Risk Management, Shareholder Liability, Stock Plans, Turnaround Management, Workforce Management
Tagged Arbitration, dispute resolution, health care
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Homeland Security Issues Urgent Cyber Warning To US Businesses
U.S. agencies are warning U.S. businesses to batten down their cyber security defenses to guard against a WannaCry ransomware cybersecurity threat sweeping the Globe. Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, D&O, Data Security, Director Liability, Director Liabiloity, E&O, Employee Benefits, Employment, Fiduciary Responsibility, Fraud, Internal Controls, Leadership, Officers, Officers Liability, Privacy, Risk Management, Shareholder Liability, Uncategorized
Tagged Cyber Security, Data security
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Real Leadership Speaks For Itself
Check out this discussion from Microsoft CEO about self-proclaimed “experts” and “leaders.” #cynthiamarcottestamer #solutionslawpreas #leadership #coaching
CG TechNology Nailed For $12M For Bank Secrecy Act Money Laundering Violations
The $12 million FinCEN civil money penalty (CMP) imposed against CG Technology, L.P., doing business as Cantor Gaming, reminds gaming and other U.S. regulated businesses of the importance of maintaining and administering appropriate policies and practices to comply with the anti-money laundering … Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, Data Security, Director Liability, Director Liabiloity, E&O, Risk Management, Uncategorized
Tagged bank secrecy act, Corporate Compliance, Corporate Governance, Federal Sentencing Guidelines, Foreign Corrupt Practices Act, money laundering, patriot act
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Data Breach & Cyber Securities & Investor Risk Management
Corporations and their leaders to add reviewing prospectus and investor cyber security and data breach disclosures to their data breach and cyber security risk management and response to do lists help guard against post event shareholder claims and regulator investigations. … Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, D&O, Data Security, Director Liability, Director Liabiloity, E&O, Employee Benefits, Employment, Fiduciary Responsibility, Fraud, Internal Controls, Officers, Officers Liability, Risk Management, Shareholder Liability, Turnaround Management, Uncategorized
Tagged Fiduciary Liability, Officers and Directors Liability, Securities, Shareholder, Shareholder Derivative Claims
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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
1 Comment
Cynthia Marcotte Stamer
slproc.com 
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