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Empowering Corporate Compliance Functions in a Post-Pandemic Environment

Harvard Corporate Governance

The US Department of Justice (DOJ) and the US Securities and Exchange Commission (SEC) have issued a number of policy updates and public pronouncements over the last several months, emphasizing the importance of empowered and accountable corporate compliance programs. Ensure compliance has the resources to do its job.

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Top 5 SEC Enforcement Developments

Harvard Corporate Governance

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. SEC Holds Chief Compliance Officer (CCO) Liable for Failing to Implement Policies and Procedures.

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Is your tax department spending more time and money because of audits?

ThomsonReuters

Unfortunately, many tax departments are feeling a strain on their resources as a result of these events. And, not surprisingly, Artificial Intelligence (AI) is viewed as a game changer for tax compliance and automation, helping with resourcing issues and helping tax professionals provide higher-quality advice with less effort.

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Resources Connection Bolsters Financial Services Expertise With Strategic Acquisition Of Reference Point

Benzinga

Consulting firm Resources Connection Inc (NASDAQ: RGP ) has entered into a definitive agreement to acquire Reference Point LLC for an unknown sum. Reference Point is a strategy, management, and technology consulting firm serving the financial services sector.

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Crisis prevention and readiness

Harvard Corporate Governance

Crisis prevention and readiness have taken on greater urgency for management and boards as corporate crises—frequently self-inflicted— continue to make headlines. Does management have the resources, skills, and plan to handle a major crisis? Lee are senior advisors at KPMG LLP. This post is based on their KPMG memorandum.

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Recent SEC Enforcement Developments

Harvard Corporate Governance

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This post is based on their Morrison & Foerster memorandum. Can cooperation with the SEC mitigate adverse outcomes?

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5 ways technology can strengthen a corporate tax team

ThomsonReuters

Country-by-Country Reporting (CbCR) laws also complicate compliance matters. This makes data management matter more than ever. 2. Aiding in heightened risk management Many global companies are ill-equipped to meet these new demands. Pillar 2), has placed additional requirements on nearly 10,000 businesses worldwide.