Emily Steed, J.D., LL.M., CAMS

66 Followers

One 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, 2020

One emerging governance best practice is to create a standardized framework for policies.

Mar 5, 2020

Emily Steed, J.D., LL.M., CAMS

On January 7, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released…

SEC exams in 2019 covered ~15% of RIAs

Jan 17, 2020

On January 7, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released…

Jan 17, 2020

Emily Steed, J.D., LL.M., CAMS

4 emerging best practices to continuously improve cloud compliance

Four best practices are emerging to continuously improve cloud compliance (although cloud compliance governance is still evolving). Not…

Jan 14, 2020

4 emerging best practices to continuously improve cloud compliance

Jan 14, 2020

Emily Steed, J.D., LL.M., CAMS

How to apply the latest research to the Lean Startup Method

Ethan Mollick’s October 21, 2019 Harvard Business Review article What the Lean Startup Method Gets Right and Wrong makes an interesting…

Oct 23, 2019

Emily Steed, J.D., LL.M., CAMS

SEC 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, 2019

Emily Steed, J.D., LL.M., CAMS

3 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, 2019

3 key take-aways from costly bribery penalties & examples of gaps that caused them in 2018 + 2019.

Sep 24, 2019

Emily Steed, J.D., LL.M., CAMS

$5 mill Penalty for VC , Lawyer and Controller: SEC Sees VC as Gatekeeper of Investor Funds

March 30, 2016 signaled a sea change in SEC enforcement when it hit employees at an unregistered entity with a $5 million penalty:

Apr 1, 2016

Emily Steed, J.D., LL.M., CAMS

$80 mill SEC Penalty Sends a Warning : Strengthen Rebate Accounting Controls

SEC targets executives and companies for unreliable financial reports

Feb 10, 2016

$80 mill SEC Penalty Sends a Warning : Strengthen Rebate Accounting Controls

Feb 10, 2016

Emily Steed, J.D., LL.M., CAMS

SEC Warns Finance Execs: Step Up Financial Disclosure To Avoid Bonus Clawbacks

Roadmap to help finance prevent disclosure omissions

Jan 27, 2016

Emily Steed, J.D., LL.M., CAMS

4 Simple Steps to Close Compliance Gaps and Standardize Processes

Practical tips to improve and scale operations

Jan 26, 2016

4 Simple Steps to Close Compliance Gaps and Standardize Processes

Jan 26, 2016

One 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…

On January 7, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released…

SEC exams in 2019 covered ~15% of RIAs

4 emerging best practices to continuously improve cloud compliance

Four best practices are emerging to continuously improve cloud compliance (although cloud compliance governance is still evolving). Not…

How to apply the latest research to the Lean Startup Method

Ethan Mollick’s October 21, 2019 Harvard Business Review article What the Lean Startup Method Gets Right and Wrong makes an interesting…

SEC 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…

3 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.

$5 mill Penalty for VC , Lawyer and Controller: SEC Sees VC as Gatekeeper of Investor Funds

March 30, 2016 signaled a sea change in SEC enforcement when it hit employees at an unregistered entity with a $5 million penalty:

$80 mill SEC Penalty Sends a Warning : Strengthen Rebate Accounting Controls

SEC targets executives and companies for unreliable financial reports

SEC Warns Finance Execs: Step Up Financial Disclosure To Avoid Bonus Clawbacks

Roadmap to help finance prevent disclosure omissions

4 Simple Steps to Close Compliance Gaps and Standardize Processes

Practical tips to improve and scale operations

Emily Steed, J.D., LL.M., CAMS

SEC halts unregistered ICO that raised $1.7 billion (yes, with a “b”)