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Conflict Minerals – Compliance Update

Some have taken issue with the Conflict Minerals Rules, asserting that they violate the First Amendment. According to a recent court decision, this is only partially true. The decision by the D.C. Circuit Court may yet be revised, however. It's been challenged already by the SEC. While we wait for the final word from the ... Read More


Mobilize Enterprise Content – Wherever it Resides

Work has become increasingly mobile, a boon to productivity and profitability, as employees can log hours from practically anywhere and at practically anytime. At the same time, however, many organizations may be compromising data security at the expense of increasing mobility. What we need are solutions that allow remote access, but only through the appropriate channels. Read More

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Encryption: What Is It Good For? (Risk & Compliance)

Data encryption seems to be top of mind for many corporations, and with good reason: high-profile data breaches prove to do significant damage in the way of reputational harm. Perhaps the answer isn't in better encryption, though, but instead better internal controls to keep users from being compromised and to strengthen reporting mechanisms. Read More


Reducing the Risk of Rogue Trading

Rogue traders may be uncommon, but the risks they pose are serious. Jim DeLoach writes on the importance of tone at the top (as well as tone in the middle), prescribes potential solutions, and proposes several questions for Boards and senior executives to consider when seeking to reduce the risks of rogue trading. Read More

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The Importance of Information Flow in a Compliance Risk Crisis

CCOs bristle at crisis the same as anyone else, and compliance crises are among the worst. But with the right framework in place, it's much easier to manage these situations when they arise. Patrick Quinlan stresses the importance of making sure stakeholders have all necessary information, providing a step-by-step guide for managing the risks a crisis can ... Read More


Poverty Mentality Leads to Poor Decisions

Is your organization "talent poor," or just afraid to let its people take risks and spearhead change? Does the company lack in influence or in confidence? High self esteem carries individuals and businesses far, but a poverty mentality takes them nowhere good. Decisions made out of fear may keep operations afloat -- for a time -- ... Read More


Internal Investigations and the Importance of Witness Interviews

The costs can really add up when internal investigations get underway, but cutting corners is generally a bad idea. Particularly during the interview process. If you're serious about uncovering the truth, the important interviews should be handled by experienced attorneys, not by counsel a bit greener around the edges who will be less likely to pick up ... Read More


Musing Upon Asset Forfeiture

On the surface, asset forfeiture sounds like a noble practice: disincentivize crime by confiscating the fruits of criminal conduct. Wonderful! I think we can all get on board with that notion. Put the laws into practice, however, and things can get a bit sticky. Asset forfeiture can impact both the perpetrators and the innocent connected ... Read More


Auditing at the Speed of Risk!

Just as risks are ever changing, so should our plans for managing them be. Internal audit must do away with tired approaches to risk management and adopt more dynamic practices in order to keep up with industry changes. Otherwise, the audit department may find themselves continually playing catch up when it comes to handling the various challenges ... Read More

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From the Arab Spring to Occupy, Corruption 2.0 Rallies the Masses

Political and corporate corruption has long galvanized the general public, but over the past several years, some of the ire that was once focused on organized institutions has begun to be directed at individuals. This is what Alison Taylor refers to as Corruption 2.0, and this trend toward anti-corruption measures at the individual level is worth watching. Read More

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