Resource Center

Corporate Counsel offers a wide range of free whitepapers, case studies and industry analysis by industry leaders. Please review our current Resource Center content that can help you today!


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  • How to Turn the Beneficial Ownership Rule into a Competitive Advantage

    In an industry disrupted by legislative reform, institutions that repurpose the compliance cost center into a competitive advantage will emerge as the new market leaders.

    For many institutions, the Financial Crimes Enforcement Network's (FinCEN) 2016 Final Rules may feel adversarial, forcing them to divert more internal resources towards compliance and the discovery of beneficial owners. But, fallout from the Panama Papers scandal and the emerging Bahamas Leak, along with enhanced scrutiny over state incorporation secrecy loopholes, further compels the culture of finance to evolve.

    While regulatory disruption has improved the number of risk variables that financial companies must assess, early-adopters of new beneficial ownership rules will realize a competitive edge. 

    The following paper will explore the ways that covered institutions can leverage FinCEN’s reforms to improve relations with regulators and investors, while optimizing business efficiencies.

    Download today and get industry insights from the experts that know how to provide you the answers. 

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  • Vacation Pay Stay State Laws

    Practical Law Chart: A complete 50-state survey compilation of vacation pay policies

    With vacation season in full swing, July is the perfect month to remind your organization how vacation pay differs in the states in which you are located.

    Take a few minutes to pull information from the Practical Law Vacation Pay State Laws Chart, a 50-state survey that highlights whether paid vacation benefits are considered wages, use-it-or-lose-it policies, and payment of accrued vacation on termination by state.

    Work with your HR, Finance or Management teams to ensure compliance, and your leadership team will thank you for being so proactive in protecting the company from potential violations!

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  • Predictive Coding in a Regulatory Investigation: A Case Study

    A case study on how a multi-national financial institution leveraged predictive modeling to respond to a regulatory investigation into its sales, marketing and trading behavior.

    The investigation spanned three jurisdictions and required the analysis of custodians’ data amounting to more than 5000 GBs and over 10 million documents hosted on multiple client databases.

    The challenges lied in identifying key facts while meeting the regulator’s deadlines for production. The best way to efficiently identify relevant information while reducing costs was to develop a defensible predictive model, leveraging technology assisted review (TAR) to identify key documents for investigative and production purposes, with minimal linear review.

    This case study illustrates how the team leveraged technology to overcome the challenges of finding relevant information by reducing the number of documents requiring eyes-on review by 95% and saving $4 million.

     

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  • Under One Agile Umbrella

    Financial institutions are challenged to meet compliance obligations in a more cost-effective and agile way. Find out how to integrate your existing compliance programs under one unified umbrella.

    Regulators increasingly expect Chief Compliance Officers (CCOs) to achieve greater consistency in their approach to manage diverse financial crimes risks across the enterprise.

    As a result, many financial institutions are reevaluating their approach to how they manage financial crimes risk, and are creating a common governance strategy and umbrella structure to manage compliance.

    This white paper will detail your steps and considerations that can help to guide the compliance leads who are considering embarking on this journey.

     

     

     

    By registering for this white paper, the personal information you provide on this site will be shared with KPMG and you may be contacted regarding the firm’s services. For more information: http://www.kpmg.com/us/en/Pages/privacy.aspx

    KPMG International’s Trademarks are the sole property of KPMG International and their use here does not imply auditing by or endorsement of KPMG International or any of its member firms.

     

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  • 5 Benefits of eDiscovery in a Public Utility Cloud Platform

    Moving your eDiscovery function to a public utility cloud-based platform can improve alignment with the overall IT strategy and create better integration with information governance.

    Corporate IT is moving to the cloud.  Are you ready?  

    Learn about the five reasons why you should consider deploying eDiscovery in a public utility cloud platform:

    • Cost
    • Scalability
    • Data Security
    • Alignment with IT Strategy
    • Extensibility with Information Governance
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  • Compliance and Conflicts of Interest

    Although every company is different from a culture and risk tolerance perspective, this White Paper contains a checklist for every corporate compliance function to follow.

    Conflicts are hard to manage.

    Unlike following specific laws and regulations, there is not always a black-and-white legal definition that delineates every potential conflict scenario.

    Find out what you need to know about some common conflicts of interest, how to define conflicts, and a checklist every corporate compliance function can follow.

     

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  • How to Score Risk and Assess Third-Party Vendors

    More than ever, financial firms are being held accountable for the compliance failure of their vendors. Establishing a risk scoring system can help protect firms and prevent liability.

    This resource will discover best practices needed to properly score and assess risk by:

    • Initiating best practice steps,
    • Maintaining a quality risk assessment scoring system,
    • Ensuring enhanced due diligence and KYC / AML alignment of third-party vendors and
    • Achieving compliant third-party risk management.
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  • Complimentary Attorney Client Privilege Checklist

    Keep your communications privileged, and ensure that employees understand their role.

    Attorney-client communications are not always privileged.  A key role of in-house counsel involves training employees to understand these limits.

    For example:

    • If an in-house lawyer is not acting in his capacity as a lawyer, but rather in a business role, privilege will not attach.
    • Discussing legal issues in public (for example, in an elevator) may waive any existing privilege.
    • Failing to affirmatively assert privilege may result in waiver of attorney-client privilege.
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  • Fiduciary Duties Overview

    Protect your company and its shareholders by educating directors with an overview of their fiduciary duties and the potential consequences, both personal and for the business.

    How well do your directors understand their fiduciary duties?

    This presentation is intended for use by in-house counsel to give the company's board of directors an overview of the fiduciary duties that the directors owe the company and its shareholders.

    This presentation discusses:

    • The core fiduciary duties of care and loyalty.
    • Specific director obligations that flow from the core fiduciary duties.
    • The standards of review that courts apply when judging directors' conduct.
    • How directors can limit their exposure to liability.
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  • Employee Termination Best Practices

    This resource addresses key issues for employers to consider when terminating an employee and best practices to minimize claims of wrongful discharge.

    Employers often face claims by former employees that their employment was terminated for an unlawful reason.  Whether or not they have merit, wrongful discharge claims can result in lengthy battles, adverse publicity and damaged morale in the remaining workforce.

    This resource addresses key issues for employers to consider when terminating an employee.  It also provides best practices to minimize claims of wrongful discharge by former employees and maximize employers' ability to defend against claims files.

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  • Elements of Confidentiality Agreements - Definitions of Confidential Information

    Only the smartest companies can both protect that information and leverage it for business opportunities. Do you have updated, current drafts of these important documents?

    Every company has confidential information - but only the smartest companies can both protect that information and leverage it for business opportunities.

    The contracts you draft can make that happen...if you're prepared.

    Do you have updated current drafts of these important documents?

    • A free-standing confidentiality agreement (also known as a nondisclosure agreement or NDA)
    • Clauses within an agreement that covers a larger transaction
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  • 2016 Regulation Review and 2017 Preview

    As 2016 comes to an end, the financial services industry is facing an increasingly vigilant regulatory landscape. This white Paper examines the key trends to watch in the new year. Learn more now!

    As 2016 comes to an end, the financial services industry is facing an increasingly vigilant regulatory landscape.

    Transparency has become paramount for regulators worldwide.

    The following article will discuss the top changes in regulations for 2016 and look ahead to what is expected in the new year.

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  • Executive Brief: Knowledge, know-how, and the ability to respond with confidence

    Knowledge, know-how, and the ability to respond with confidence. Learn the keys to position yourself as a trusted corporate advisor.

    The business landscape continues to evolve quickly, and corporate counsel must keep pace, monitoring and responding to changes concerning regulation, privacy and a host of other domains.  If in-house legal teams cannot rise to the challenge, they will be unable to work proactively and play the role of sought-after advisor who can consistently advise the business on new threats and opportunities.

    However, by aligning themselves with a new path forward, one marked by both heightened efficiency and effectiveness, Corporate Counsel can better respond with confidence and assert their position as a trusted corporate advisor.

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  • Avoid Social Media Risks in 2017

    The use of social media by individuals in and outside of the workplace is widespread and continues to grow. Create a Social Media policy that protects your company.

    Improper and inappropriate use of social media by employees carries tremendous legal risk for the employer, including:

    • Potential unauthorized disclosure of the company's trade secrets and confidential or proprietary information.
    • Infringement of third-party intellectual property rights.
    • Employee harassment and privacy violations.

    Create a Social Media policy that protects your company and employees with this download from Practice Point.  This download has integrated notes with important explanations and drafting tips.

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  • Inside E-Discovery & Beyond: E-Discovery Complexities Driving Change

    From BDO
    A new era of data-driven risk. What organizations need to know about the state of cyber threats, information governance, and e-discovery.

    In this data-driven era, legal technology advancements in predictive coding and data analytics aren't just nice to have - they're a strategic imperative. But with more data and new technology comes greater cyber and regulatory risk.

    Find out what more than 100 senior in-house counsel at leading corporations have to say about these issues and more.

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  • 5 Benefits of eDiscovery in a Public Utility Cloud Platform

    Corporate IT is moving to the cloud.

    Moving you eDiscovery function to a public utility cloud-based platform can improve alignment with the overall IT strategy and create better integration with information governance.

    Learn about the five reasons why you should consider deploying eDiscovery in a public utility cloud platform:

    • Cost
    • Scalability
    • Data Security
    • Alignment with IT Strategy
    • Extensibility with Information Governance
    read more
  • Common Arbitration Misconceptions

    This white paper discusses what not to believe about arbitration.

    More parties and attorneys would opt for arbitration over litigation, but with the misconceptions surrounding the litigation process, there are still those who have doubts.

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