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How to protect against employee email
Let's face it. In this litigious era, when federal rules require the retention of emails, it's all too easy to get burned by employee emails, whether they are taken out of context or not. In many... Read more...
Suitabilty change in the works?
We've discussed the slew of new financial regulations that may be coming down the pike. Here's one that would have a profound affect on financial services firms. FINRA has asked for comment on... Read more...
A noisy withdrawal in Stanford case
You've no doubt heard of R. Allen Stanford and the controversy over the Stanford Financial Group, which some see as a financial scandal of Madoff-ian proportions. The Wall Street Journal's law blog... Read more...
Fair to beat up on the SEC?
Ever since the Bernard Madoff scandal broke open, the media has been rife with lamentations that the SEC was remiss in its oversight of the firm. It has certainly proven to be a PR black eye. Some... Read more...
Paying your in-house attorneys enough?
In-house lawyers may be in heavier demand, as law firms cut back during the recession. Tough times often create legal work, and fraud attempts and economic tough times are often correlated.... Read more...
Demand for accountants spikes right back up
Just when the industry was starting to talk about declining growth and even--gads--layoffs in the audit industry, along comes the credit crunch, which seems to have lifted the demand for accounting... Read more...
Heat rising on lawyers?
The SEC, as if it doesn't have enough going on already, is apparently preparing to take a harder line on securities attorneys. The SEC has the authority, granted by Sarbanes-Oxley, to target... Read more...
Time for a renewed focus on outsourcing compliance programs?
Some experts have discerned that regulators are taking a closer look at outsourcing arrangements these days. For many companies, the answer seems to be SAS70 II (a standard developed by the AICPA)... Read more...
ALSO NOTED: CEO succession planning a good idea from Sarbox perspective;
> At Fidelity, a whistleblower emerges. Article > CEO succession planning a good idea from... Read more...
ALSO NOTED: Grant Thornton in expansion mode; Best practices: Tips toward keeping information trustworthy
> Grant Thornton in expansion mode. Read more...



