The Keys to Effective AML Program Oversight

There are a number of factors contributing to the success -- or failure -- of an anti-money laundering compliance program. Arguably one of the best predictors of an AML compliance program's effectiveness, however, is its support and oversight by senior management and the Board of Directors. Read on for details on some of the other key indicators. Read More

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Wage War on Change Fatigue in the New Year

With a new year often comes new changes. All well and good, until you take into consideration that, like New Year's resolutions, many of these initiatives are left by the wayside in a matter of weeks, leaving employees exasperated and leadership disheartened. But your new programs don't have to go the way of the Dodo. With ... Read More

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It takes guts - and a new way of thinking - to change the status quo. But challenging the way things have been done can be a very good thing, particularly if outcomes have been less than ideal. While it's not a scientific discipline per se, the way companies practice risk management could be much improved ... Read More

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An Earthquake Survival Guide

Until a crisis presents itself, it's not apparent from the outside whether sufficient resources have been dedicated to managing risks. But if and when that disaster eventually arrives, it will be too late to plan for the worst. Take proactive, preventive steps now to ensure your firm is prepared to handle its greatest risks and boost its ... Read More


Boardroom Black Holes and Taboos

Is your Board side-steppng the hard questions? Sure, some subjects are uncomfortable to talk about, but avoiding them isn't a great solution. In some instances, turning a blind eye to a taboo topic could be putting your organization's fiscal health at risk. Is that a gamble you're willing to make? Follow these tips to pinpoint, ... Read More

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Financial Institutions and a Lack of Ethics

Financial institutions have been guilty of a host of transgressions lately, and while the offenses are varied, their causes can be traced back to one key issue: a lack of ethics. Despite the issues being well publicized and having resulted in serious reputational harm, the transgressions continue to pile up. They've failed to grasp that increasing compliance ... Read More


Defining the Five Lines of Defense

Rather than segregating risk management responsibilities into their own silo, making them the purview of only a select few, companies would benefit greatly from an integrated approach in which every person in the organization is responsible to some extent in managing risk. Jim DeLoach presents a method involving five distinct lines of defense. Read on for details. ... Read More


Snakes in the C-Suite

Nobody hires a snake intentionally. Executives with reptilian tendencies either develop them over time or reveal themselves little by little. Either way, once a snake-like leader shows his true nature, something's got to be done. Yes, he might be generating amazing results, but at what cost? Consider the long-term ramifications of keeping a snake on ... Read More

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Avoid Data Leaks: Make Content Sharing Safe and Compliant

The necessity of guarding against data breaches is more apparent with each passing day and each new scandal. Finding the right solution, though - that's the tricky part. There are a plethora of options available, and not all are created equal. Implement the right one for your company to protect your firm, your staff and your ... Read More

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The Person of the Year: The Chief Ethics Officer

With every changing of the calendar, Michael Volkov names a "person of the year." This year, the distinction goes to the Chief Ethics Officer, as companies are coming to a better understanding of the integral role a culture of ethical behavior plays in an effective compliance program. In fact, many are finding that you can't have one ... Read More

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