Emily Steed, J.D., LL.M., CAMSOne emerging governance best practice is to create a standardized framework for policies.Policy governance helps a business actually do what it intends to do. Scaling governance is an effective strategy to improve efficiency…Mar 5, 2020Mar 5, 2020
Emily Steed, J.D., LL.M., CAMSOn January 7, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released…SEC exams in 2019 covered ~15% of RIAsJan 17, 2020Jan 17, 2020
Emily Steed, J.D., LL.M., CAMS4 emerging best practices to continuously improve cloud complianceFour best practices are emerging to continuously improve cloud compliance (although cloud compliance governance is still evolving). Not…Jan 14, 2020Jan 14, 2020
Emily Steed, J.D., LL.M., CAMSHow to apply the latest research to the Lean Startup MethodEthan Mollick’s October 21, 2019 Harvard Business Review article What the Lean Startup Method Gets Right and Wrong makes an interesting…Oct 23, 2019Oct 23, 2019
Emily Steed, J.D., LL.M., CAMSSEC halts unregistered ICO that raised $1.7 billion (yes, with a “b”)The SEC’s message is loud a clear: unregistered sales of digital tokens are illegal because they fail to provide investors with critical…Oct 21, 2019Oct 21, 2019
Emily Steed, J.D., LL.M., CAMS3 key take-aways from costly bribery penalties & examples of gaps that caused them in 2018 + 2019.FCPA / anti-bribery regulatory priorities from 2018 to 2019 - what you can do to avoid penalties.Sep 24, 2019Sep 24, 2019
Emily Steed, J.D., LL.M., CAMS$5 mill Penalty for VC , Lawyer and Controller: SEC Sees VC as Gatekeeper of Investor FundsMarch 30, 2016 signaled a sea change in SEC enforcement when it hit employees at an unregistered entity with a $5 million penalty:Apr 1, 2016Apr 1, 2016
Emily Steed, J.D., LL.M., CAMS$80 mill SEC Penalty Sends a Warning : Strengthen Rebate Accounting ControlsSEC targets executives and companies for unreliable financial reportsFeb 10, 2016Feb 10, 2016
Emily Steed, J.D., LL.M., CAMSSEC Warns Finance Execs: Step Up Financial Disclosure To Avoid Bonus ClawbacksRoadmap to help finance prevent disclosure omissionsJan 27, 2016Jan 27, 2016
Emily Steed, J.D., LL.M., CAMS4 Simple Steps to Close Compliance Gaps and Standardize ProcessesPractical tips to improve and scale operationsJan 26, 2016Jan 26, 2016