Board/Committee oversight and management operations of risk management or ERM – when will regulatory agencies, or others, start looking?

Re the new DOJ Evaluation of Corporate Compliance Programs – looking ahead, when will the DOJ or some other regulatory agencies (there are many possible federal and state agencies), or Judges, start to look at board oversight (or audit committee oversight), and management operations of risk management or ERM and related processes? The issues or investigations are simply waiting there in egregious situations. Or, when will corporate or in-house counsel (who are facing increasing liability and criticism exposure), or the internal or external auditors pick up the ball and run with it? See also my blog post introducing the new DOJ Evaluation of Corporate Compliance Programs at Click Here

Every case and situation is different. You do need to consult with an attorney and other professionals about your particular situation. This post is not a solicitation for legal or other services inside of or outside of California, and, of course, this post only is a summary of information that changes from time to time, and does not apply to any particular situation or to your specific situation. So . . . you cannot rely on this post for your situation or as legal or other professional advice or representation.

Thank you for reading this website. I ask that you also pass it along to other people who would be interested as it is through collaboration that great things and success occur more quickly.

Best to you, David Tate, Esq. (and inactive California CPA) – practicing in California only. I am also the new Chair of the Business Law Section of the Bar Association of San Francisco

Blogs: Trust, estate/probate, power of attorney, conservatorship, elder and dependent adult abuse, nursing home and care, disability, discrimination, personal injury, responsibilities and rights, and other related litigation, and contentious administrations; Business, D&O, board, director, audit committee, shareholder, founder, owner, and investor litigation, governance, responsibilities and rights, compliance, investigations, and risk management



Audit Committee 5 Lines of Success, Diligence, and Defense - David Tate, Esq, 05052018

COSO Enterprise Risk Management Framework ERM Components and Principles

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