Blogs about: Corporate Compliance

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What Comes First -- The RFP or the Consultant? Some Helpful Tips for Corporate Lawyers not Accustomed to Formulating or Responding to a Request for Proposal

There is no one-size-fits-all template for a professional services RFP, and certainly not with regards to implementing a global records and information management program.  If you decide to use a tem… more »

The Datakos Blawg

What Comes First -- The RFP or the Consultant? Some Helpful Tips for Corporate Lawyers not Accustomed to Formulating or Responding to a Request for Proposal — 1 comment

Rick Wolf wrote 8 months ago: There is no one-size-fits-all template for a professional services RFP, and certainly not with regar … more »

Tags: e-discovery, Law department management, ECM, Records Management, Compliance, Procurement, Legal Services, budget and planning, Strategic Planning

House to Vote on the Attorney-Client Privilege Protection Act of 2007

Rick Wolf wrote 8 months ago: The House of Representatives plans to vote next week on H.R. 3013, “The “Attorney-Client … more »

Tags: Congressional testimony, , Attorney-client privilege, Criminal Investigations, DOJ policy, Federal Rule of Evidence 502, legislation, privilege waiver, Prosecutorial Discretion

What's Behind the Drop in Corporate Fraud Indictments? Is there no more corporate crime -- or has Justice simply stopped looking for it?

Rick Wolf wrote 8 months ago: Daphne Eviatar The American Lawyer November 1, 2007 In his summer of discontent, there were few day … more »

Tags: Attorney-client privilege, Corporate Governance, Criminal Investigations, ethics, Rule 502, Securities Fraud, White collar crime

CHIEF LEGAL OFFICERS PUTTING HIGH PRIORITY ON RECORDS AND INFORMATION MANAGEMENT COMPLIANCE PROGRAMS FOR 2008

Rick Wolf wrote 8 months ago: 91% of corporate counsel view records management compliance as important, but 75% still lack auditab … more »

Tags: e-discovery, Federal Rules of Civil Procedure, Law department management, ECM, Law Firms, Client Relationship Management, Regulatory Compliance, Records Management Policy Development, Attorney-client privilege

Record Backdating Settlement Reached in Mercury Case

Rick Wolf wrote 9 months ago: By Debra Cassens Weiss A group of pension funds will receive $117.5 million to settle their class ac … more »

Tags: corporate tax, Criminal Investigations, Regulatory Compliance, business ethics, Corporate Governance, corporate counsel, ethics, White collar crime, Backdating

Navigating the New E-Discovery Rules — 1 comment

Rick Wolf wrote 9 months ago: By Paul D. Weiner and Mary Kay Brown Imagine having to tell your client that it must pay more than $ … more »

Tags: e-discovery, Federal Rules of Civil Procedure, ECM, Law Firms, Jury Trials, Criminal Investigations, Records Management Policy Development, Corporate Governance, litigation management

New Study Reports That More Than 80% of Companies Exposed to Fraud

Rick Wolf wrote 9 months ago: A new study released by Kroll and the Economist Intelligence Unit revealed that a majority of global … more »

Tags: FCPA, Criminal Investigations, business ethics, Corporate Governance, ethics

Slaying the Email Management Dragon by Getting Behind What Makes People Tick -- Thinking Inside the Box — 2 comments

Rick Wolf wrote 10 months ago: Discussion of the management of email is personal (to the user) and contentious (among vendors who c … more »

Tags: e-discovery, ECM, Records Management Policy Development, Corporate Governance, litigation management, Data Privacy and Security

The Backdating Option

Rick Wolf wrote 10 months ago: When corporate executives decide to secretly backdate stock options, they could be setting up their … more »

Tags: Regulatory Compliance, business ethics, Corporate Governance, Sarbanes-Oxley, ethics, Backdating, Executive Compensation, Securities Fraud

Why Legal Hold Management is an Important Internal Control -- – Can You Test Yours? — 1 comment

Rick Wolf wrote 10 months ago: Every organization needs an auditable, centralized process for tracking legal holds, yet most admitt … more »

Tags: e-discovery, Federal Rules of Civil Procedure, Law department management, ECM, Law Firms, Criminal Investigations, Regulatory Compliance, Records Management Policy Development, Sarbanes-Oxley

Non-Feasance Leads SEC to Charge Former CFO and COO of Brocade for Illegal Backdating of Stock Options

Rick Wolf wrote 10 months ago: In a new twist to the SEC’s options backdating enforcement policy, the Securities and Exchange … more »

Tags: Regulatory Compliance, business ethics, Corporate Governance, Sarbanes-Oxley, ethics, White collar crime, Backdating, Executive Compensation, Securities Fraud

Poor Internal Controls Lead to Brazen Self-Dealing: SEC Charges Former General Counsel of KLA-Tencor And Juniper for Fraudulent Stock Option Backdating

Rick Wolf wrote 10 months ago: The SEC filed its latest stock option backdating enforcement action, this time against a former gene … more »

Tags: corporate tax, Backdating, business ethics, corporate counsel, Corporate Governance, ethics, Executive Compensation, Regulatory Compliance, Sarbanes-Oxley

SEC Stumbles on Privilege Waivers

Rick Wolf wrote 10 months ago: Justin Scheck The Recorder September 10, 2007 By the middle of last month, Securities and Exchange C … more »

Tags: corporate tax, Criminal Investigations, Regulatory Compliance, Attorney-client privilege, Rule 502, White collar crime, Backdating, Executive Compensation, Securities Fraud

House Judiciary Subcommittee on Crime, Terrorism and Homeland Security Approves Modified Version of Attorney-Client Privilege Protection Act — 1 comment

Rick Wolf wrote 11 months ago: The House Judiciary Subcommittee on Crime, Terrorism, and Homeland Security approved a modified vers … more »

Tags: Congressional testimony, Criminal Investigations, Attorney-client privilege, Corporate Governance, litigation management, Rule 502, White collar crime

Controlling Electronic Discovery Cost Through Collaboration -- ARMA International Hosts Conference on June 25-26, 2007 — 1 comment

Rick Wolf wrote 1 year ago: FOR IMMEDIATE RELEASE: Contact: Ashley Flynn ARMA International 913.312.5561, aflynn@arma.org Contro … more »

Tags: e-discovery, Federal Rules of Civil Procedure, ECM, Criminal Investigations, Regulatory Compliance, Records Management Policy Development, Attorney-client privilege, Corporate Governance, Sarbanes-Oxley

Brocade to Pay $7 Million Penalty to Settle Charges for Fraudulent Stock Option Backdating — 1 comment

Rick Wolf wrote 1 year ago: As reported in an earlier post, the SEC has, indeed, settled backdating claims against issuer Brocad … more »

Tags: corporate tax, Accountant Liability, Criminal Investigations, Regulatory Compliance, business ethics, Corporate Governance, Sarbanes-Oxley, ethics, White collar crime

Email Trail Comes Back to Haunt Former Executives: SEC Settles With Mercury Interactive and Sues Former Mercury Officers for Stock Option Backdating and Other Fraudulent Conduct

Rick Wolf wrote 1 year ago: In an earlier post, it was reported that an allegedly inculpatory email trail between in-house couns … more »

Tags: corporate tax, Accountant Liability, Criminal Investigations, Regulatory Compliance, business ethics, Corporate Governance, Sarbanes-Oxley, corporate counsel, ethics

SEC Settles With IBM for Misleading Statements Regarding Stock Option Expenses — 1 comment

Rick Wolf wrote 1 year ago: FOR IMMEDIATE RELEASE 2007-109 Washington, D.C., June 5, 2007 - The Securities and Exchange Commissi … more »

Tags: corporate tax, Accountant Liability, Corporate Governance, Sarbanes-Oxley, White collar crime, Executive Compensation, Securities Fraud

SEC Enforcement Director: Gatekeepers and the Virtue of "Professional Courage"

Rick Wolf wrote 1 year ago: At the 27th Annual Ray Garrett, Jr. Corporate and Securities Law Institute of 2007, Linda C. Thomsen … more »

Tags: Corporate Responsibility, Criminal Investigations, Attorney-client privilege, business ethics, Corporate Governance, Sarbanes-Oxley, corporate counsel, ethics, White collar crime


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