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FINRA Reveals Top Areas of Interest: Supervision and Digital Communications Compliance Programs
The Financial Industry Regulatory Authority (FINRA) has issued its latest report, and the findings could be significant for financial services firms. Theta Lake’s Marc Gilman discusses what organizations need to know. The publication of FINRA’s Report on Examination Findings and Observations is now in its third year. In 2019, the title and framing have changed slightly: “Recommendations” have been recast...
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The Future of Data Privacy Regulation
DataGrail Co-Founder and CEO Daniel Barber posits that as we head into a new decade, 2020...
The Early Days: The Birth of the Independent Monitoring Concept
Jay Rosen explores the early days of Affiliated Monitors, Inc.’s independent monitoring model, inspired by NYC’s...
DOJ Updates FCPA Corporate Enforcement Policy Again
The DOJ recently announced updates to its FCPA Corporate Enforcement Policy. Michael Volkov shares how, while...
The Social Construction of a Scandal
Do corporate execs and legal counsel truly understand the role news media plays in establishing the...
The Pros Who Are Key to Fighting Corporate Fraud
Management accountants are on the front lines of fraud, and their skill sets make them ideal...
Managing Organizational Culture as an Enterprise Asset
“Culture” is a seven-letter word that has gained traction in the C-suite and boardroom. As Protiviti’s...
An Unconventional Interview Question: “Do You Have an HR Department?”
When compliance specialist Milou Lammers was interviewing for compliance roles, she consistently asked potential employers about...
Columnists
Frank Bucaro: Values-Based Leadership
Frank Bucaro is an ethics expert, who is a leading crusader– speaking, training and writing– on...
Sujata Dasgupta
Sujata Dasgupta is the Practice Head for Financial Crimes Compliance in Tata Consultancy Services Ltd. and...
Sandra Erez
Born and raised in Long Island, Sandra Erez says she teeters precipitously between doing what...
Jay Rosen, “Mr. Monitor”
Jay Rosen is Vice President, Business Development and Monitoring Specialist at Affiliated Monitors, Inc., the first company...
Managing Organizational Culture as an Enterprise Asset
“Culture” is a seven-letter word that has gained traction in the C-suite and boardroom. As Protiviti’s Jim DeLoach explains, more...
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GDPR One Year Later: A Boom in DPOs and New Strategies for U.S. Companies
GDPR One Year Later: A Boom in DPOs and New Strategies for U.S. Companies
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Thomson Reuters: The State of Regulatory Reform
Videos
Interview: Richard Bistrong and Kristy Grant-Hart on Success in Compliance
Videos
Mayer Brown’s Tech Talks, Episode 3: The Big Data Paradox
Videos
Mayer Brown’s Tech Talks, Episode 2: The Future of Outsourcing
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