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AI-Based Narrative Generation for Risk & Compliance Reporting
Many global banks and financial institutions would have been delighted if the adage “the numbers speak for themselves” held true to its meaning; it’d save them from deciphering the numbers they generate constantly for various internal and regulatory reporting...
ICA Inaugural MENA Regulatory and Financial Crime Compliance Conference Arrives in Dubai This March
His Excellency Ebrahim Obaid Al Zaabi, Director General, Insurance Authority, will deliver the keynote address (January 15, 2020, Dubai) – With over 15 years’ experience in hosting relevant, practical and inspiring events, the International Compliance Association (ICA), the leading...
Emerging Strategies in the Evolving Area of Predictive Scheduling
States and cities nationwide have instituted predictive scheduling laws, aiming to give employees a greater sense of certainty around their work schedule. However, with laws varying by jurisdiction, employers don’t enjoy the same level of certainty. Fisher Phillips’ Collin...
Ethical AI is Built On Transparency, Accountability and Trust
AI systems based on machine learning can be used to audit financial data efficiently and look for financial fraud, but ethical risks exist if the data is biased. Dr. Steven Mintz explores the principles governing the ethical use of...
How to Build an Effective E&C Program
Once upon a time, a corporate compliance program might have been a “nice to have” element. Those days are gone. Marc Tasse concludes a two-part series on reputational risks with a framework for building a robust E&C program. Read...
Recent Changes from the DOJ and What They Mean for the Compliance Practitioner
As we move ahead in the ethics and compliance world in 2020, Jay Rosen looks back at some of the DOJ policy announcements – specifically at the FCPA Corporate Enforcement Policy, announced in November 2017 – and considers what...
Australian Whistleblower Law Changes
ComplianceLine's Amanda Hosenfeld and Calvin Lane discuss recent changes to Australia's whistleblower laws, which went into effect on January 1. The changes cover four main areas: who has to comply with the laws, what conduct can receive protection, who...
Workplace Retaliation: A Culture of Fear
Retaliation can ruin the organization's culture; it's bad for the culture, and it's bad for business. Here, ComplianceLine's Amanda Hosenfeld and Cailyn Gombka cover what an employer can do to protect the organization and its staff from retaliatory actions....
Minimizing Liability Under the SEC’s Reg-BI
RumbergerKirk’s Pete Tepley and Meredith Lees highlight litigation risks posed by the SEC’s Regulation Best Interest (Reg-BI), litigation risks that may arise from Reg-BI’s care and compliance obligations and best practices to mitigate those risks. By looking beyond Reg-BI’s...
5 Trends for Legal and Compliance to Watch in 2020
Tens of thousands of respondents have weighed in via multiple surveys, and Gartner analysts have identified 15 legal and compliance hot spots spanning five main trends. Stephanie Quaranta reports on the issues creating or exacerbating the legal, compliance and...
Culture, Integrity and the Board’s Role in Guarding Corporate Reputation
The reputational risk that can result from allegations of noncompliance with corruption, bribery or money-laundering regulations is one of the biggest threats facing organizations today. Marc Tasse begins to detail what organizations can do to protect against reputational harm....
Automating KYC Compliance with Smart ID&V
As customers increasingly prefer to do their banking via smart devices, it’s time for banks to modernize their approach to customer due diligence. Financial crimes compliance expert Sujata Dasgupta provides a deep dive on smart ID&V solutions for KYC...
DOJ Recovers Over $3B from False Claims Act Cases in FY 2019
Department of Justice Office of Public Affairs (January 9, 2020) -- The Department of Justice obtained more than $3 billion in settlements and judgments from civil cases involving fraud and false claims against the government in the fiscal year ending...
Billion-Dollar Baby: Ericsson FCPA Enforcement Action
The DOJ recently announced a resolution of the longstanding FCPA enforcement action involving Ericsson, a multinational networking and telecommunications equipment and services company headquartered in Sweden. The matter was stunning in the total amount of fines and penalties assessed,...
NAVEX Global (Lockpath) Recognized by Gartner
PORTLAND, Oregon (BUSINESS WIRE) -- NAVEX Global®, a Leader in integrated risk and compliance management solutions, has been recognized in Gartner Inc.’s report, Critical Capabilities for IT Vendor Risk Management Tools1, published on December 19, 2019 and authored by Christopher...
What Drives Social Media Mobbing?
Social mobs love “cancelling” people. What drives some to pile on, and what can organizations do to effectively manage a crisis if and when one arises? Risk expert Michael Toebe provides a game plan. Social media is a powerful...
The Human Factor in FCPA Violations and Compliance Issues
An organization comprised of humans will have its failings; people are fallible, after all. But this in no way means we should take unethical behavior in stride. Ation Advisory’s Frank Orlowski discusses the human element of wrongdoing. Human vulnerability...
Smarsh Expands and Enhances Support for Voice Compliance
Provides secure and easy archiving, search and play back of voice content from virtually any recording system, strengthening risk and compliance initiatives PORTLAND, Ore., & LONDON, January 8, 2020 – Smarsh®, helping customers get ahead – and stay ahead –...
Final Reflections on 15 Years
Jay Rosen concludes the series with this retrospective from Vin DiCianni on where AMI has been, where it may be going next and what he’s most proud of regarding AMI’s 15th anniversary. There have been a couple of themes...
Meeting Contract Requirements for the CCPA
Aventiv Technologies Chief Compliance Officer Russ Berland illustrates the importance of a “define the relationship” arrangement between businesses and their vendors. On January 1, 2020, the California Consumer Privacy Act (CCPA), which applies to how businesses deal with California...
Getting to the Bottom of Whistleblower Complaints
Whistleblower complaints are on the rise and may gain further traction from recent stories in the news, increasing the burden on the investigators. H5’s Jeffrey Grobart discusses tools and methods to accelerate the vetting process. From Edward Snowden to...
Risky Business: Accepting Fear to Fuel a Disruptive Mindset
The world is in better shape than we might think – an encouraging thought at the outset of a new decade. Linda Henman asserts that worry and a victim mentality impair our ability to take necessary risks. When conducting...
Why You Should Draft a Compliance Mission Statement
When Fresenius’ Mary Shirley and her team endeavored to create a compliance department mission statement, they discovered substantial value in executing what seemed at first like a simple task. In 2017, shortly after I joined the Fresenius Medical Care...
The Combination of Independent Monitors and C&E Programs
Jay Rosen discusses the combination of compliance and ethics programs with independent monitoring, as well as two DOJ memos that have been key in the selection and application of independent monitors. The marriage of independent monitors and compliance and...
I Like Your Shoes: The Benefit of Fresh Eyes in Audit
Mariette Cutler, Managing Director of The Risk Navigation Group, discusses how relative inexperience in the audit profession can be a real asset – salve to the souls of those still gaining a footing in the GRC space. Early morning...
CCI Serves Up the Best of the Best from 2019
As it turns out, compiling a final list of the top articles on CCI for 2019 was a lot like planning my menu for next week’s holiday dinner. In both cases, I’m serving a few classic, reliable favorites alongside more recently...
Creating Total Compensation Offerings for Managing Multiple Generations
Looking ahead to 2020, Elliot Dinkin discusses trends in total compensation, potential offerings organizations can offer and what those offerings would require of compliance pros. As employers plan for the workforce of the future, it is essential to consider...
2020: The Year of Compliance and Data Discovery
As we enter a new decade, data will be increasingly valuable for organizations globally. Ground Labs’ Peter Duthie discusses how compliance regulations and security concerns will become more pressing. In 2019, we saw organizations demonstrate that a smart data...
The Expansion of Independent Monitors
Jay Rosen shares how the use of independent monitors has greatly expanded over the past 15 years. The increase has been seen in the private and public sectors, domestically and internationally. The U.S. Department of Justice began using monitors...
The Board-Management Risk Appetite Dialogue
Considering unpredictable markets, myriad uncertainties and unprecedented market opportunities, how should the board and executives engage with respect to the organization’s risk appetite? Protiviti's Jim DeLoach offers sage wisdom. In 2017, the National Association of Corporate Directors (NACD) Advisory...
