All Articles By Date
Managing Potential Board Liability for Evolving Environmental Risks
Growing Risks for Directors and Officers In the third of a series of articles discussing emerging theories of liability for…
How GDPR Enforcement is Shaping Up in Europe
(And Why U.S. Companies Should Take Note) The General Data Protection Regulation (GDPR), Europe’s sweeping data protection law, has been…
TRACE: Measuring Corruption
Robert Clark, Manager of Legal Research at TRACE, discusses the challenges associated with measuring something as widespread and varied as…
Targeted: A Corporate Response to a Federal Target Letter
Key Steps in the Early Stage of a Federal Investigation Although many were unsure how white collar crime enforcement would…
AML Compliance: Spotlight on Nordic Banks
The Changing Landscape As AML regulations are getting more stringent globally, criminals are focusing on using countries with lowest risk…
The Data Privacy Whirlwind Grows in California
What the CCPA Signals About the Future California is leading the way to pass meaningful legislation on data privacy and cybersecurity.…
Compliance Success Starts with Change Management
Best Practices for Merging Security and Compliance Within many organizations today, security and compliance teams are running in isolation. This…
The Purpose of a Compliance Program
To Prevent and Detect Compliance programs exist for the purpose of protecting against misdeeds, and the most effective programs are…
Integrated Risk Management: The Intersection of GRC and RMIS
3 Arguments for Integrating RMIS and GRC Processes Gartner suggests that integrated risk management (IRM) is the next evolution of…
TRACE: Update – The UK Bribery Act and Enforcement Trends
Speaking at the TRACE European Forum, Michelle de Kluyver of Addleshaw Goddard provides a comprehensive and insightful update on the…
Common Pitfalls in Third-Party Due Diligence
5 Risky Mistakes Companies Make Third-party relationships result in a majority of FCPA resolutions and investigations. Dan Wendt, member at…
If You Want Better Compliance, Focus On Collaboration
Ensuring Both with Cloud Enterprise Content Services For many years, there has been a fear among IT professionals that the…
The Regulatory Race for Data Protection is Just Beginning
Global Developments in Data Privacy Cyber crime and increasingly imminent cyber threats have left businesses and citizens concerned about digital…
Financial Crime: More Than a Language of Its Own
Taking a Robust Approach to Stamp Out Trader Fraud The globalization of financial institutions has come with an increasingly fragmented…
TRACE: Belt and Road Challenges Across Central Asia
Alexander Cooley, political science professor at Columbia University and author of “Dictators Without Borders,” describes the corruption climate across Central…
How Boards Should Tackle Sexual Harassment in the #MeToo Era
7 Steps to Minimize Risk Today’s boards are increasingly aware of the significance and scrutiny given to their oversight obligations…
Incorporating the OODA Loop
Stopping Problems Before They Start As third-party IT security/cyber risks become more prevalent, IT security professionals continue to look for more…
To Succeed, Immigration Compliance Must Be a Company-Wide Effort
A Guide to Multidisciplinary Collaboration Companies seeking global talent must necessarily contend with immigration matters, but HR needn’t go it…
Boosting SR 14-1 and IFRS 16 Compliance
Using AI for Improved Contract Analytics Changing global mandates, particularly SR 14-1 and IFRS 16, mean banks and financial institutions…
Enterprises Left Exposed Through GRC “Shelfware”
The Underlying Issue with Many GRC Solutions GRC software is especially critical in organizations that rely on enterprise resource planning…
Privacy Law Discussions: Who’s Leading The Way?
State vs. National Privacy Law Legislation Several states have implemented privacy legislation – many similar to the GDPR regulations signed…
Privacy Is (Now) Your Business
How to Prepare for New Legislation Privacy is no longer a niche specialty or one-off discussion reserved for big companies…
How GDPR Has Impacted Businesses
Data Privacy in the U.S. 6 Months On It’s now been just over half a year since the deadline for…
Addressing Geopolitical and Regulatory Shifts
Managing Risk Amid Uncertainty We live in an uncertain world, and it seems to grow more so every day. Jim…
Innovation in Operationalizing Compliance
Tom Fox shares insights from an interview with award-winning author and health care futurist Ben Locwin. In this white paper,…
Effective Compliance is More Than the Sum of a Program’s Parts
Why Your E&C Program Should Be Operationalized An ethics and compliance program is in trouble from the start if it…
TRACE: Russian Troll Farms
Finnish journalist Jessikka Aro has investigated pro-Russia internet trolls, their disinformation efforts and related financial crimes since 2014. She has…
“Privacy” Doesn’t Equal “Security”
The Importance of Knowing the Difference With the weekly reports of cyber events and data breaches, cybersecurity is a trending…
How to Address Workplace Bullying
Raising Awareness Through Compliance Training When discussing the problem of bullying, we often overlook not only the victims, but also…
Preparing for Stronger Data Privacy Law Based on GDPR and CCPA
3 Steps to Bolster Privacy The California Consumer Privacy Act (CCPA) and the General Data Protection Regulation (GDPR) may signal…
1MDB: A Guilty Plea and Two Indictments
Recently, we’ve seen several new and significant developments in the long-running 1Malaysia Development Berhad (1MDB) scandal as the DOJ announced…
Novartis: A New “Rock Star” in Compliance and Ethics
Pharma Giant Graduates to Compliance 2.0 Donna Boehme, the “Lion of Compliance,” comments on Novartis as a new “rock star”…
Don’t Mistake Execution for Strategy, or You’ll Jeopardize Both
The Strategic 3 Questions There are a number of ways organizations can go wrong in terms of strategy. Linda Henman…
Keeping Your Whistleblower Hotline Alive
Ideas to Maximize Hotline Effectiveness It could be a good sign if the phones aren’t ringing at your organization’s hotline…
RPA: First Steps to Greater Internal Audit Efficiency
Why IA Leaders Should Care About Robotic Process Automation Robotic process automation (RPA) is drawing significant interest from Chief Audit…
Taking An “Inside-Out” Approach to Security and Compliance
Q&A with Justin Sulhoff of Optiv Security Today we feature an interview with Justin Sulhoff, Practice Manager, PCI Services at…
Compliance and Legal Teams: It’s Time to Get Smart About Machine Learning
5 Ways Organizations Can Benefit from ML Heidi Maher, Executive Director of the Compliance, Governance and Oversight Council (CGOG), discusses…
TRACE: Lisa Osofsky: New Director of the SFO
In her first podcast, Lisa Osofsky discusses her goals for the Serious Fraud Office and how her professional background will…
Private Equity in DOJ’s Line of Fire
Liability Under the False Claims Act The government can be slow, but it catches up. The DOJ and whistleblowers have…
Why 2019 Could Be a Challenging Year for Internal Audit
External Threats Loom Large With 2019 planning on the horizon, audit teams are beginning to consider external factors that threaten…
Does the DOD’s MLA Interpretive Rule Really Help Servicemembers?
How the Military Lending Act Plagues the Finance Industry The Military Lending Act (MLA), enacted in 2006 and implemented by the Department…
Employee Handbooks 101
Do’s and Don’ts for Every Employer Many employers use an employee handbook to communicate workplace policies to the workforce. Employers…
Goldman Sachs and the 1MDB Criminal Prosecutions
Indictments and Other Developments Following indictments unsealed last week, Michael Volkov revisits the 1MDB scandal, from the major players to…
5 Hidden Privacy Dangers
Lesser-Known Risks for Corporations and Consumers Big data corporations are always seeking new ways to capture data from consumers, and…
TRACE: Do We Need an International Anti-Corruption Court?
Judge Mark Wolf of Integrity Initiatives International and Matthew Stephenson of Harvard Law School debate the pros and cons of…
From the FCPA to #MeToo
How Sexual Harassment is Changing American Compliance Corporate compliance has been around for decades – sexual harassment for much, much…
ESG Trends From the 2018 Proxy Season
Report Reveals Increased Focus on Environmental, Social, Governance Issues The proxy season for 2018 has shown trends that shareholders are…
Ensuring GDPR Compliance Across the Supply Chain
Moving Forward Through Ambiguity Companies trying to find their way to compliance with the General Data Protection Regulation are struggling…
Beware What Lurks in the Dark
12 Steps to Reveal and Reduce Cyber-Breach Risk One hundred percent of businesses are or will be victims of a…
Rising to the Challenge: 2018 Views from the C-Suite
A.T. Kearney’s Global Business Policy Council has recently released its annual survey of global business executives, and sentiment gathered from…
The Responsible Technology Firm of the Future, Part 4
Corporate Social Responsibility Suggestions to increase diversity and measure the improvement; monitor evolving stakeholder expectations, particularly around social responsibility; help…
Risky Business in a GDPR World
Navigating Privacy and Compliance As the recent data breach by Facebook has made clear, meeting strict GDPR guidelines is difficult.…
ACA Penalties Are Coming
What You Need to Know Within the last few months, employers have begun to be assessed fines by the IRS…
When Emails Attack
5 Tactics to Prevent Phishing Exposure Cyber criminals have used phishing emails to launch the vast majority of cyberattacks. Amid…
The Petrobras FCPA Enforcement Action
Tom Fox discusses the corruption scheme at Petroleo Brasileiro (Petrobras) and the subsequent settlement with the SEC and DOJ. Read…
Does ERM Really Matter in Your Organization?
Maturing Risk Management in Light of COSO Updates Recent updates to the COSO framework serve to clarify the significance of…
TRACE: Blockchain and Cryptocurrency
Carrie Cohen of Morrison & Foerster explains the regulatory and compliance implications of blockchain-enabled technology, including cryptocurrency.
Reinventing Financial Compliance
Reducing Cost and Complexity, Increasing Accuracy and Reliability As we mark the 10-year anniversary of the 2008 banking crisis –…
The Responsible Technology Firm of the Future, Part 3
Market Forces Suggestions to maximize the company’s innovative potential within the confines of social responsibility, pay attention to emerging risks…
New Corporate Reporting Requirements for Modern Slavery in Asia-Pacific
Uptick in Companies Taking Steps to Combat This Scourge More and more companies are combating modern slavery. The scourge is…
Developing Corporate Security Policies to Avoid Data Breaches
Minimizing D&O Cyber Liability In the second of a series of articles discussing emerging theories of liability for directors and…
The Responsible Technology Firm of the Future, Part 2
Corporate Governance and Regulatory Compliance Suggestions to build and manage a strong corporate governance operation, manage conduct at the top…
Old AML Systems Hinder The Fight Against Financial Crime
Steps Companies Can Take to Improve Compliance and Reduce Risk Every year, billions of laundered dollars are moving through financial…
The Responsible Technology Firm of the Future, Part 1
A Rapidly Changing and Unpredictable Landscape The changing landscape is altering the conversation at the highest levels of technology companies,…
TRACE: The Abramoff Lobbying Scandal and Beyond
Nat Edmonds of Paul Hastings describes his work as a prosecutor on the Jack Abramoff corruption cases and then provides…
Lincoln and Transformative Leadership, Part 1
Harvard Business Review recently published an article by Doris Kearns Goodwin called “Lincoln and the Art of Transformative Leadership,” wherein…
Key Compliance Issues for M&As
Applying the FCPA Corporate Enforcement Policy There are many ways a merger or acquisition can go sideways, including the discovery…
How The DOJ’s New Guidelines on Monitorships is an Opportunity for Corporations
Navigating New Criminal Division Guidance and Accelerating Remediation The Department of Justice’s Criminal Division has recently issued new guidelines for…
A New SIEM for a New World
Moving from “Big Rules” to “No Rules” No two cybersecurity events are exactly alike, so it’s a fool’s errand to…
Advance Preparation for an OCR HIPAA Audit
8 Tips to Implement Now Shane Whitlatch, EVP at FairWarning, outlines the key controls companies should have in place to…
Proceed with Caution When Using Artificial Intelligence
Challenges with Insights in Excel Artificial intelligence can be a very good thing, but organizations must not jump in blindly.…
The Importance of a High-Risk Due Diligence Committee
A Call for Greater Multidisciplinary Oversight As your company’s reliance on third parties grows, so too does the risk associated…
3 Ways to Leverage Predictive Analytics
Using Analytics to Gain a Competitive Edge Predictive analytics is quickly changing the way businesses effectively allocate their budgets and…
TRACE: Prosperity Theology: “Spiritual Pickpockets”
Jonathan Walton, Harvard professor and ethicist, discusses prosperity theology and the role it plays in both power and poverty.
Recent FCPA Cases: Lessons for Compliance Personnel
Historic Corruption and Its Modern-Day Impacts Anne Eberhardt, CFE, CAMS and Senior Director at Gavin/Solmonese, discusses two notable cases involving…
Is Your Company Prepared for the Worst?
Why Business Continuity Must Be Part of Your Strategy Carrying insurance, having a plan, limiting liability… these are all important…
Finally, an Overhaul for AML Legislation
A New Anti-Money Laundering Regime for a New Century The landscape of AML regulations is scattered, with its primary legislative…
The Changing Role of Electronic Information Archiving
From Mandatory Requirement to Valuable Business Enabler Just because you have prohibited employees from communicating about business matters via any…
“An Ounce of Prevention…”
Q&A with Tony Phillips, Principal at McKool Smith Today we share an interview between CCI’s Publisher, Maurice Gilbert, and Tony…
TRACE: 15 Years of the UNCAC
Candice Welsch of the United Nations Office on Drugs and Crime describes the work, progress and goals of the UN…
Dump the Toxic Culture
Making Your Workplace a Harassment-Free Zone Too many workplaces have allowed sexual harassment to continue unchecked for years. In some…
Beyond Anti-Harassment Training
A Holistic Approach to Addressing Harassment As cultural movements continue to raise awareness about misconduct, compliance and ethics programs are…
Mitigating Data Risk in M&A Transactions
What to Do When a Deal Falls Apart What happens after a planned deal falls apart? In the process of…
Creating a Culture of Ethics & Compliance in the Workplace
4 Tips to Help Build a Healthy Culture No matter your industry, your long-term success as a company strongly correlates…
Braving the M&A Sanctions Storm
Challenges Posed by New Sanctions SIX’s Oliver Bodmer discusses difficulties companies face in navigating compliance matters associated with the flurry of…
Petrobras Closes Out “Massive” Corruption Investigations and Litigation
Resulting Settlements and Remedial Measures Brazilian oil and gas giant Petrobras has entered into a series of settlements in closing…
TRACE: Chinese Criminal Gangs
John Langdale, a professor at Macquarie University in Sydney, discusses his research into Chinese criminal gangs, their method of attaching…
Why Process Management is a Boardroom Issue
The Impact of BPM on Organizations Regulations and compliance are some of the most important topics of discussion in the…
Scaling Cyber Supply Chain Risk Management with Dark Web Monitoring
Implementing Protections Against Cyberattacks Many recent cyberattacks have come through exposures in third-party systems. There is an evident need to…
Procurement and Compliance Getting Closer than Ever
Key Findings from Dun & Bradstreet Report Brian Alster, Global Head of Supply & Compliance at Dun & Bradstreet, outlines…
4 Steps to Secure Your Data in the Cloud
Managing Risk in a Shifting Regulatory Environment Given the frequency of significant data breaches, organizations must be increasingly vigilant about…
Managing the Effects of Short-Termism on Risk Management
6 Recommendations to Maintain Effective Risk Oversight As the financial crisis thoroughly demonstrated, an acute focus on short-term gains can…
OFAC Enforcement: The Epsilon Case and Third-Party Risks
What the Decision on Epsilon’s Sanctions Violations Means for Companies Michael Volkov discusses Epsilon’s sanctions violations, the resulting “reason to…
TRACE: A Year in Prison for Insider Trading
Roomy Khan, “Tipper A” in the Galleon Group insider trading case, discusses the many small decisions that led to catastrophic…
Integrating Remediation Management Into Your Operations
Addressing Regulatory Compliance Issues Point B’s Steve Hall and Sydney Rickelman discuss the benefits of a remediation management office (RMO)…
Very Pleased to Meet You: Market Rates for Introducers in Asia-Pacific
Mitigating the Risk Posed by Introducers Wendy Wysong and associates at Clifford Chance write on the rise in prominence of…
Treat Regulatory Compliance as an Opportunity, Not a Threat
Maintaining a Competitive Edge in the Banking Industry Compliance professionals know it well: the organizations that embrace compliance and adopt…
The Evolving Relationship Between Privacy Pros and IT
Tech Solutions Emerging to Meet Increasing Regulation Privacy and data protection have challenged organizations for decades, but with companies’ increasing…
Compliance Mistakes Can Cause Real Damage
11 Common Pitfalls This is the third part in a series on truths about global compliance. This installment provides a…
TRACE: The Alarming World of Insurance Fraud
Jim Quiggle, of the Coalition Against Insurance Fraud, joins us to discuss the many grisly shapes that insurance fraud takes,…
