All Articles By Date
GDPR: Where to After May 25?
Look to the Mainframe In order to meet GDPR compliance, organizations need to demonstrate they are putting forth their best…
A New Way of Thinking About Ethics and Culture
The Business Case for a Strong Culture of Ethics Culture and ethics are all the rage in management theory and…
Crime-Fraud Exception to Attorney-Client Privilege
Its Applications and Limitations The attorney-client privilege is not absolute, of course. Michael Volkov discusses the crime-fraud exception to attorney-client…
TRACE Podcast: Tackling Financial Crime
David Eby, Attorney General of British Columbia, discusses comprehensive measures being taken to address financial crime in that province.
Automation and Analytics Creating Value for Fraud Management
The New Solutions for Financial Crimes Compliance Management (FCCM) The methods for perpetrating fraud are continually evolving, so an effective…
Leading “Connected”
Q&A with Moore & Van Allen’s Valecia McDowell CCI’s Maurice Gilbert chats with Valecia McDowell, Co-Head of the White Collar,…
State of Internal Audit 2018
Impact and Opportunities MetricStream’s latest survey on the state of internal audit finds auditors focused on delivering timely insights on…
Maternal Walls and Glass Ceilings in the #MeToo Era
Sexual Harassment and Pregnancy Discrimination in the Workplace Over the past several months, the reality that sex discrimination in employment…
8 Ideas to Reduce False Positives in Fraud Investigations
Steps to Improve Forensic Analytics Thanks to advances in forensic analytics, we can spot emerging risks long before they come…
TRACE Podcast: Money-laundering in Vancouver in Casinos: the Vancouver Model
Today, Alexandra interviews Peter German, author of the comprehensive German Report and President of the Canadian International Center for Criminal…
Cryptomining Malware on The Rise
How to Prevent the Risk of Crypto-Jacking New cryptomining malware uses an NSA-exploit to spread to Windows machines while disabling…
Why Cryptocurrency is So Difficult for the IRS to Regulate
3 Reasons Crypto Eludes Regulators Cryptocurrency is all the rave right now, which is why tax authorities are aching to…
Optimizing Document Review in Compliance Investigations, Part 2
Using Advanced Analytics and Continuous Active Learning to “Prove a Negative” This is the second article in a two-part series…
Data Here, Data There, Data Everywhere
The Need for a Chief Privacy Officer Nearly every day we hear about another data breach at a major corporation,…
TRACE Podcast: Harmonizing Global Settlements
Tina Søreide discusses her work, through the IBA, to bring consistency and predictability to bribery settlements worldwide.
Corporate Doublespeak
A Bribe is a Bribe Why do organizations use sanitized language rather than more direct verbiage? A new generation of…
Using Smart Tools to Minimize Risk
Q&A with Charles Weeden, Managing Partner at 17a-4, llc Charles Weeden is Founder and Managing Partner of e-communications compliance technology…
Where Are Boards of Directors When Ethics Oversight is Involved?
The Value of a “Built In” vs. “Bolted On” E&C Program Ethics and compliance are far too often neglected by…
Your Asia-Pacific Anti-Corruption Rundown
New Developments Across the Region Clifford Chance’s anti-corruption specialists in Asia-Pacific surveyed recent developments in five jurisdictions. Here’s what you…
Mammoth Risks and the Future of Compliance
Q&A with Rajeev Gubbala, Co-Founder of AppZen CCI’s Publisher, Maurice Gilbert, chats with Rajeev Gubbala, Co-Founder and Head of Engineering…
Measuring Onboarding Effectiveness
SilkRoad’s Talent Talk Podcast, Episode 16 Host John Westby discusses with guests Mimi Jerkan and Nirmala Pol the need for…
Financial Forecast: Cloudy with a Good Chance of Behavioral Insight
A Cloud-First Approach to Managing Financial Communications Data The current regulatory framework, which has grown more complex since the 2008…
The Costs of Corruption in the Public Sector
When the Public Loses Faith Corruption in government is nothing new. And it’s not limited to nations and governments that…
Understanding the GDPR: Frequently Asked Questions
It’s been more than two months since GDPR’s implementation, only 20 percent of companies believe they are GDPR compliant. Many organizations still…
Addressing Unconscious Bias in the Workplace
Overcoming Prejudice Through Compliance Training Employers need to remain proactive to ensure there is no question when it comes to…
SEC Amends Definition of “Smaller Reporting Company”
How the Changes Will Affect Financial Reporting Recent changes by the SEC to qualification thresholds have altered the qualifications for…
TRACE Podcast: Duke Cunningham and the Bribe Menu
Marcus Stern, the Pulitzer Prize winning investigative reporter who broke the story, describes the bribery scheme that landed then-Congressman “Duke”…
New “ABC Test” Sends California Employers Reeling
Applying the Standard for Independent Contractors California has adopted a new ABC test for determining whether a worker should be…
Steering the Sales Strategy Toward Compliance
Why Teaching Compliance Isn’t Sufficient Sales teams live and die on incentives. And there’s nothing wrong with that per se,…
You’re GDPR Compliant …Now What?
4 Next Steps With the European Union’s General Data Protection Regulation (GDPR) deadline now behind us, the real work of…
Regulatory Oversight for Cryptocurrency?
What Crypto Exchangers and Administrators Need to Know U.S. regulators have recently joined with an international coalition of tax enforcement…
4 C’s to Increase the Value of Internal Audit
Ensuring the Effectiveness of a Risk-Based Audit Plan Protiviti’s Jim DeLoach explores how to bolster internal audit’s efforts in providing…
Managing Corporate AI
A Suggested Approach California-based MoFo Privacy & Data Security partners Stephanie Sharron and Andy Serwin discuss the legal and ethical…
4 Current FCPA Enforcement Trends
“Resources Reflect Policy” and Other Observations Michael Volkov discusses themes emerging in the DOJ’s and SEC’s enforcement of FCPA violations…
TRACE Podcast: UN Office on Drugs and Crime
Neil Walsh, Chief of Cybercrime, AML and Counter-Financing of Terrorism at the UNODC in Vienna, discusses the work that his…
Using Culture to Manage Complexity and Ethical Risk
An Introduction to the Strategic Culture Framework The high complexity and rapid change organizations face today make it more difficult…
Whistleblower Laws: Current Issues
Q&A with Rick Schroeder of Jones Walker Rick Schroeder, leader of the Corporate Compliance & White Collar Defense Practice at…
Family, Friends, and the FCPA: The Credit Suisse Enforcement Action
Recently, Credit Suisse settled an FCPA enforcement action to the tune of $77 million for the illegal hiring of family…
Optimizing Document Review in Compliance Investigations, Part 1
Internal/Regulatory Investigations Versus Litigation Too many corporations approach litigation and compliance investigations the same way, using the same technology, approach…
What to Expect When You Are Expecting (to File under HSR)
Key Details from Recent Reports Large mergers and acquisitions can be high-risk, company-changing affairs. Besides the hefty filing fee of…
“Gone are the Days of Rigid Lines of Defense”
Key Insights and Trends from the MetricStream GRC Summit 2018 MetricStream’s 2018 Summit in Baltimore saw several hundred business executives,…
ERM is Dead! Long Live ERM!
Driving Change to Improve Resilience and Agility Enterprise risk management (ERM) is a framework organizations use to manage risks and seize…
How Legacy MSSPs Increase Cybersecurity Risks
Why an Evolved Security Strategy is Critical Jordan Mauriello, Chief Technology Officer of Critical Start, discusses how the operational model…
Leveraging Search Experts and Technology for Targeted Risk Oversight
What Boards Should Know As corporate scandals hit the headlines, boards of directors must often answer questions about their own…
The California Consumer Privacy Act
What’s Next in Data Protection Laws The GDPR went into effect at the end of May, and California could be…
Betting on Compliance: The Supreme Court’s Decision in Murphy v. NCAA
Q&A with Nicole Sprinzen of Cozen O’Connor With the U.S. Supreme Court’s decision in Murphy v. NCAA on May 14,…
Making Third-Party Risk Management Drive Value
Reimagining Risk A recent Deloitte poll surveyed nearly 2,400 professionals in a bid to better understand third-party or extended enterprise…
TRACE Podcast: “Bad Blood” – The Theranos Scandal
Two-time Pulitzer Price winner John Carreyrou discusses his excellent book about the Theranos scandal, “Bad Blood,” and how Elizabeth Holmes…
Tackling the Cannabis Conundrum
What to Do When State and Federal Laws Disagree Nationwide, laws around marijuana are in flux, and employers struggle to…
Are Health Care Organizations Protecting Data as Well as They Think?
8 Tips to Strengthen Your Data Security Practices The more often data is handled, the greater the risk of a…
Moving From Reports to Analytics, Part 2
SilkRoad’s Talent Talk Podcast, Episode 15 In this episode, the conversation continues between Mimi Jerkan, Nirmala Pol and host John…
How the GDPR Will Impact E-Signatures
4 Key Criteria to Consider When Evaluating Solutions The EU General Data Protection Regulation is now officially in effect. If…
5 Essential Strategies to Improve Workplace Culture
Go Beyond Training to Imbue the Company’s Values Starbucks has been in the headlines lately as its corporate leaders work…
3 Reasons Your Business is Failing at Corporate Governance
And What You Can Do About It With Audi’s CEO arrested for fraud, it’s time to shine the spotlight on…
The Danger of Rumors of Bribery and Corruption
The Actual and Potential Impacts of Allegations Corporate boards may be due for a rude awakening; they’d be well-advised to…
Transforming Contracts into Actionable Intelligence
Contract Analytics is a Business Imperative Bruce Orcutt from ABBYY shares how artificial intelligence can extract meaning from contracts in…
TRACE Podcast: Buying Fakes
Valerie Salembier, former publisher of Harper’s Bazaar and founder of The Authentics Foundation, discusses the true cost of counterfeit luxury…
One of the World’s Most Feared Enforcement Tools
The History of FCPA Enforcement, Part 2 In Part 1 of this two-part series on the history of the enforcement…
Welcome! You’re the New CCO…
5 Basic Steps to Get Started Michael Volkov shares five ways a new chief compliance officer can start his/her new…
Summer Reading List for Compliance Officers
Why spend your time reading mystery novels this summer, when real-world mysteries are swirling through the global financial system? Fenergo, which…
How the Foreign Corrupt Practices Act Came to Be
The History of FCPA Enforcement, Part 1 Anne Eberhardt, Senior Director at Gavin Solmonese and an expert in FCPA, forensic,…
Braving the Sanctions Storm
Challenges and Opportunities Posed by New Sanctions While the imposition of sanctions may primarily bring to mind effects on the…
The Data Collection “Fire Drill”
Using Tech to Streamline Compliance Efforts Data collection and monitoring tools now make it easier to access information quickly, but…
The 10 Best Ways to Get Yourself Fired
Surefire Tips to a Speedy Exit Plenty of paths lead to firing, and lackluster (or even poor) performance isn’t the…
90 Percent GDPR-Audit Failure Rates Ahead
(And That’s OK) The penalties for GDPR violations can be ruinous. But do organizations need to worry? Terry Ray suggests…
The Importance of BPM in GDPR Compliance
How Business Process Management Can Help Meet GDPR Requirements Mark Holenstein of Signavio discusses how process optimization helps to better…
Penalties for Corporate Offenders in Australia Set for Significant Change
How the Change May Impact Self-Reporting The Australian government is raising fines associated with corporate wrongdoing. The changes will bring…
The Inherent Risks of “Too Big to Fail”
Australia Grapples with its Monstrous Banks Compliance failures at a system-wide level are the hardest to heal from. This article…
4 Health Care Data Challenges and How to Overcome Them
Best Practices for Data Integrity, Collection and Reporting Ajay Khanna of Reltio explores the four primary data challenges facing the…
Blockchain and a Decentralized Workforce
What the Technology May Mean for HR How do you manage and pay your employees when they’re stationed all around…
TRACE Podcast: FIFA’s Red Card
Ken Bensinger discusses his fascinating book, “Red Card,” and the decades of misconduct by FIFA eventually uncovered by the FBI.…
Breaking the Cycle of Spreadsheet Hell
Solving Spreadsheet Risks and Errors is Easier Than You Think A decade ago, a professor of IT management and an…
The Most Effective Strategy for Handling Conflict
Using the GROW Model to Resolve Issues What if you were send to the “Principal’s office” every time you were…
Technical Requirements for GDPR Compliance
For GDPR Compliance, Take These Steps If you’re not already compliant with the General Data Protection Regulation (GDPR), you’re already…
Update Your WAN Strategy and Secure Your Company Network
Key Considerations When Choosing a Solution Security embedded in an SD-WAN-enabled appliance cannot simply be downgraded to perfunctory specs and…
Managing Third-Party Risk in EERM Programs
Q&A with Dan Kinsella, Deloitte Risk and Financial Advisory Partner Deloitte recently released the results of its third-annual Global Extended…
Sins of the Silo
Compliance Challenges in Financial Services The financial services sector faces numerous obstacles – especially the constant change in regulations. Michael…
A Majority of U.S. Businesses Ill-Prepared for GDPR
How to Achieve Compliance Greg Sparrow addresses the issues of the General Data Protection Regulation (GDPR) and preventative actions that…
Doctor Blockchain Will See You Now
The Technology Disrupting the Health Care Industry Blockchain tech is disrupting multiple industries, and perhaps none more so than health…
The Same Old Workplace Training Won’t Cut It
Addressing Sexual Harassment in the #MeToo Era, Part 4 What has your organization done to ensure employees understand your commitment…
Crash Landing: Lessons From the Panasonic FCPA Enforcement
Those bemoaning the lack of Foreign Corrupt Practices Act (FCPA) enforcement activity can cease. With the Dun & Bradstreet Inc. (D&B)…
TRACE Podcast: Debating ISO 37001
Judd Hesselroth and Alexandra debate the merits of the ISO anti-bribery standard and the associated accreditation process.
The Shoe Drops on Theranos’ Former CEO and COO
Criminal Indictment Filed Charging Fraud The fallout continues for Elizabeth Holmes and Sunny Balwani, respectively the CEO and COO of…
Moving From Reports to Analytics
SilkRoad’s Talent Talk Podcast, Episode 14 In this episode of Talent Talk, host John Westby discusses with SilkRoad’s Mimi Jerkan…
What Happened at Facebook?
Lessons From The Giant While not every organization is a nearly 2 billion user, social media giant like Facebook, there’s…
Preparing the Organization for an Economic Downturn
There is no better time to prepare for an economic downturn than when business is good. With the severity of…
How the Michael Cohen Investigation Defines and Highlights the Limits of the FCPA
Political Ties This article will dig deep into the issue of whether President Trump’s lawyer, Michael Cohen, should be concerned…
Five Keys to Overcoming Data Challenges in Forensic Investigations
Deloitte’s Satish Lalchand outlines steps organizations can take to prepare an effective foundation for analytics-driven investigations and fraud monitoring, in…
TRACE Podcast: Where GDPR and Due Diligence Collide
Illya, privacy counsel with TRACE, discusses the direct conflict between the GDPR and robust anti-bribery due diligence and TRACE’s efforts…
How Mature Is Your Organization’s Approach to Forensic Investigations?
Leading organizations are increasingly integrating human and machine intelligence for forensic investigations. By combining technological analysis—including artificial intelligence (AI), machine…
Governing Cybersecurity: Cybersecurity committees on the rise
Independent Oversight Meets the SEC Ron Kral discusses the the emerging trend of cybersecurity committees that are being created as…
Best of Both Worlds: Open Data Access and Governed Control
It’s Time to Take Data to the Next Level The self-service technology culture allows each business user to access data…
In the “Wild West” of Virtual Currencies, Anti-Money Laundering and Sanctions Enforcement is Anything but Virtual
Opportunities Revolutionize The Current Financial and Commerce System While virtual currencies offer many opportunities to revolutionize the current financial and…
Where are the Victorians when you need them?
We need to update our laws, regulations and institutions for the digital age, just as the Victorians did for the…
TRACE Podcast: Problems with Campaign Finance
Senator Russ Feingold discusses McCain-Feingold, Citizens United and the vast, opaque sums involved in US politics today.
Transforming IT Audit in the Digital Era
Robotic Process Automation and Other Key Advances A number of technological advances are emerging that, when implemented by IT audit,…
The Right Data Strategy for Staying Ahead of Evolving Compliance Requirements
Top 5 Best Practices for Data Management In today’s data-driven digital economy, traditional databases struggle to keep up with the…
Dear CCOs: What is Your Mandate??
Detect, Fix or Prevent Problems Before They Become a Crisis Donna Boehme, the “Lion of Compliance,” explains the singular imperative…
TRACE Podcast: Football Dreams
Sebastian Abbot, author of “The Away Game; The Epic Search for Soccer’s Next Superstars,” talks about Qatar and the biggest…
Fintech & Banking: Weighing the Compliance Risks & Rewards
Fintech Collaborations on the Rise Fintech-bank partnerships result in growth opportunities. In this article, Krista Morgan examines the risk-reward relationship…
