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LRN-series-graphic
May 21, 2015
Trade Compliance for 2015: Current Issues, Risks and Challenges in Export Controls

  • Marian Ladner



  • It's incumbent on compliance practitioners at multinational corporations to pay close attention to developments in export regulations, as well as sanctions against nations and persons the government deems as risky, whether to our national security or to foreign policy. It's vital that our compliance programs remain nimble enough to adapt to changing risks on the global scale....

    audit
    May 20, 2015

  • Tim Leech


  • In light of recent developments, the profession must rethink the role of internal audit and even its very practices and methods in order to maintain relevance in a s...

    mexico
    May 18, 2015
    Anti-Corruption Reform Moving Forward in Mexico

  • Matteson Ellis



  • Think about the Mexican government and likely the first word that springs to mind is "corrupt." It's an association the country is working to overcome, evidenced by the imminent implementation of a National Anti-Corruption System. The government's reputation for corruption will no doubt take years to correct, but they're on their way....

    game plan
    May 20, 2015
    A CCO Job Function: Managing Talent

  • Thomas Fox



  • CCOs have a big job, no question. In addition to developing and strengthening the compliance program and remaining attentive to ethical concerns throughout the organization, the CCO has the responsibility of managing his bench of compliance practitioners. Given the egos often prevalent among top talent, this is no small feat......

    collusion
    May 19, 2015
    Employee Fraud Collusion Puts Companies at High Risk

  • Hagai Schaffer



  • Half the battle in combating fraud is detecting it early on, and -- as with many white collar crimes -- fraud is rarely carried out by one wayward staff member acting alone. A huge percentage of cases, in fact, are perpetrated by two or more players collaborating together. In order to catch suspicious activity, then, it makes sense to watch out for collusion....

    LRN-series-graphic
    May 15, 2015
    Government Contracting: Navigating the Land Mines

  • Scott Arnold



  • Government spending has been under close scrutiny and, as a result, budgets have shrunk and contractors' jobs have become increasingly difficult. When contracting organizations are forced to do more with less, compliance is one of the first areas to suffer. With the right approach, however, success is still within reach. ...

    automation
    May 14, 2015
    Automation and AML/BSA Compliance

  • Michael Volkov



  • Thank goodness for automation, without which banks and financial institutions would spend a fortune trying to remain in compliance. Michael Volkov writes today about the various ways the financial service providers can use technology to improve the accuracy and efficiency of their compliance programs, improving monitoring and due diligence capabilities along the way. ...



    choices
    May 12, 2015
    Ruth Rendell and Developing Better Compliance Solutions

  • Thomas Fox



  • The late, great mystery writer Ruth Rendell was known for challenging human bias. As a result, her writing felt fresh while her contemporaries' novels were often formulaic and predictable. In the world of compliance, overcoming human bias when seeking solutions is even more important. Tom Fox explores how compliance practitioners can perfect their decision making....

    sec enforcement
    May 8, 2015
    SEC Enforcement and Compliance Priorities 2015

  • Bradley Bondi



  • SEC enforcement actions have been on the rise for some time, a pattern that's only likely to continue given recent developments. The agency is more willing than ever to take cases to court, and last year saw the single largest whistleblower award to date. Bradley Bondi, SEC compliance and enforcement expert, outlines the agency's focus for 2015....

    heavy load
    May 6, 2015
    How Can Internal Audit Support the Growing Responsibilities of the Audit Committee?

  • John Verver



  • The role of the audit committee is expanding, and more is expected from the internal audit function than ever before. And this comes at a time when most audit professionals already feel stretched thin. In order to meet the growing requirements and achieve maximum effectiveness, there are a couple of surefire solutions internal audit can implement....

    test
    May 5, 2015
    Don’t Blame the Test

  • Linda Henman



  • In its efforts to level the playing field for all candidates, the government continues to toss out measures designed to separate the "cans" from the "cannots." While we want to avoid biased tests, it's critical that we not throw out the baby with the bath water. Let's consider that the problem may not be with the assessment when it comes to determining candidate viability....

    QUICK-JUMP TO CCI DEPARTMENTS

    wall street
    May 13, 2015
    Is More Corporate Governance the Answer? (Part 3 of 5)

  • Glen Jenkins



  • Having explored the events of the 1970s that ushered us into a lengthy period of corporate reform, Glen Jenkins now walks us through the 1980s. An economy initially in recession later made quite the turnaround, and with that growth came several now infamous schemers. The perpetrators of the major financial crimes of the 80s only brought on more reform....

    courage
    May 11, 2015

  • Steve Priest


  • It stands to reason that in order to meet the Board's expectations, you first must have a solid understanding of what those ...

    stop sign
    May 7, 2015
    Temperance — The Cornerstone of an Ethical Corporate Culture

  • Jim Nortz



  • The temptation to bend the rules can be great, particularly when it seems the regulatory watchdogs aren't taking notice and it's clear that issues of noncompliance have gone undetected. Maintaining a culture of ethics means doing the right thing at all times, not allowing yourself to become complacent when it comes to doing business ethically....

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    transfer pricing
    May 4, 2015
    Transfer Pricing Compliance: 5 Tips to Avoid Financial and Reputational Risk

  • Gianluca Queiroli



  • Transfer pricing — determining the price charged for goods and services exchanged between related entities — is one area in which companies often exhaust time and money while still ending up penalized. ...

    Upcoming Events

    29

    How to Implement an Effective Enterprise Risk Assessment and Related Internal Audit Function at a Bank or Credit Union

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    29

    Making the Move to ISO 27001: 2013

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    31

    Higher Education Compliance Conference

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    01

    Risk Based Internal Auditing (RBIA): 2-day Comprehensive Training Workshop

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    02

    Internal Audit's Role in Enterprise Risk Management

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    shutterstock_253442581
    May 1, 2015

  • Steve Priest



  • There is ongoing contention in the United States about what it means to represent shareholder interests......

    LRN-series-graphic
    May 1, 2015

  • Robert Bond



  • The Data Protection Regulation has been heralded as a means for businesses to save significant costs. However, critics have observed that, in fact, it places a significant burden on companies operating in the EU. ...

    shutterstock_195687113
    April 30, 2015

  • Marta Farensbach



  • If storage is cheap, why bother dealing with legacy data, right? Wrong. Ignore it at your peril. ...

    five erm
    April 29, 2015
    The Board’s Role with Risk: 5 Considerations to Define a Healthy Balance Within ERM

  • Ron Kral



  • Where does the board’s role begin and end regarding risk? A company's core objective is to create and increase wealth for its shareholders. ...

    cyber security
    April 28, 2015
    Building a House of Bricks: How to Build the Strongest Cyber Security Program

  • James L. Ervin Jr.



  • In today’s world with a global economy, e-commerce, and utilization of technology to do business, the Big Bad Wolf will not knock on the front door. Instead, the Big Bad Wolf sits at home in its den using a computer to hack the data network and steal customer information, back accounts, social security numbers, and money. ...

    risk management failure
    April 28, 2015
    25 Reasons for Risk Management Failure

  • Richard Leblanc



  • Here's a list of 25 reasons that risk management failure happens, based on experience assisting boards, including boards that have failed and boards that cannot afford to fail....

    healthcare risk management
    April 24, 2015
    Managing Cyber Risk in Health Care

  • Andrew Hicks



  • What recent history has taught us is that hackers are becoming more sophisticated, attacks are becoming more malicious -- and no industry or organization is invulnerable. Service organizations that move beyond basic compliance measures are poised for rapid growth over the next few years. ...