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Data In, Insights Out
Why AI Needs Superior Data to be Successful Artificial intelligence could contribute multiple trillions to the global economy in the…
Watch and Learn, CEOs: A Powerful Example of Ethical Leadership
Integrity Trumps Extortion Donna Boehme, the “Lion of Compliance,” comments on Amazon CEO Jeff Bezos’s response to AMI’s extortion plan…
3 Principles for Compliant Communications with Competitors
Steering Clear of Antitrust Pitfalls Knowing how to engage in competitor interactions is often more art than science. There are…
Fraud a Top Concern for Compliance Leaders
Findings from Dun & Bradstreet According to a report by Dun & Bradstreet, compliance and procurement professionals indicate that fraud…
TRACE: Board Support for the Compliance Function
Jeff Cottle of Norton Rose Fulbright discusses how to secure and maintain board support, what ideal communications patterns look like…
Look Behind You – Now!
The CCPA “Look Back” Requirement A provision in the upcoming California Consumer Privacy Act (CCPA) will make the regulation retroactive…
Minimizing the Damage from a Ransomware Attack
The Case for Restricting User Permissions The damage control for ransomware attacks exist already within every company. It’s common to…
Inherently Risky (but Brilliant) Interactive Digital Marketing Strategies
3 Examples Compliance Teams Can Learn From In this day and age, compliance risks can come from anywhere. Sean Freidlin…
Exercising Good Privacy and Compliance Judgment
TPRM in the Wake of GDPR Cisco has just released a Data Privacy Benchmark Study, revealing that outsourcers are taking…
Financial Sector Transformations Ahead
What to Expect in 2019 Eric Johnson, President of Global Investment Markets at Donnelley Financial Solutions (DFIN) outlines six key…
Boards and Corporate Culture: SSGA Framework
State Street Global Advisors (SSGA) has recently compiled a framework for boards of directors to follow in aligning corporate culture…
Advanced Analytics for Anti-Fraud and AML Systems
Top 15 Tools and Techniques Detecting potentially fraudulent customers and transactions and projecting compelling visual insights have traditionally been a…
TRACE: Norway’s Sovereign Wealth Fund: Prioritizing Corporate Ethics
Johan H. Andresen chairs the Council on Ethics for the largest sovereign wealth fund on earth. With over US$1 trillion…
SEC’s Misguided “Solution” In Search Of A Problem
Proposed Rule Would Hurt Whistleblower Program The SEC is considering a rule change that would effectively introduce a floor and…
Whistle While You Work, Part 2
Bells & Whistles: Whistleblowing Portal or Corporate Hotline? In this second installment in a series on whistleblowing solutions VinciWorks’ Sandra…
Compliance Resolutions to Keep
3 Goals for C&E Programs This Year This is the time of year most of us seek to transform our…
Resilient: Ned Segal on Embracing and Embodying Purpose
How can you preserve and enhance your company’s brand and reputation? According to Twitter CFO Ned Segal, it’s all about…
Brazil’s Falling Ranking in the Corruption Perceptions Index
Why the Decline is Natural – And Could Be Positive Transparency International recently released its annual Corruption Perceptions Index, and…
The State of GRC
3 Predictions for 2019 From Google’s GDPR violation to data breaches happening just hours after the new year, 2019 is…
The Case for Integrated Risk Management
Align Your Risk Approach to Your Unique Business Realities Lockpath’s Colby Smith discusses the reasons an integrated approach to risk…
Getting a Job in Compliance
Just starting out in law school, Milou Lammers knew almost immediately that she wanted to pursue a career in corporate…
The Dangerous Compliance Threat
Budget Cuts to Compliance Programs When companies are in financial straits, budget cuts are a reasonable expectation. But how deep…
CCI Reviews: Operational Risk Management: Best Practices in the Financial Services Industry by Ariane Chapelle
Actionable advice and a reader-friendly format make this an essential handbook for today’s operational risk manager Want a refresher on…
TRACE: The Oil-for-Food Scheme
On today’s podcast, David Montero discusses his new book, “Kickback” and tells the story of how Saddam Hussein found collaborators…
Briefing the Board on Technology Matters
The Conversation in 3 Contexts On the whole, boards of directors don’t have a great grasp of technology-related risks, and…
P2P Lending: Risks and Business Models
Analyzing and Addressing the Key Risks Peer-to-Peer (P2P) lending is relatively a recent financial innovation that has taken the lending…
The Asia-Pacific Top 10 FCPA Enforcement Actions of 2018
Notable Cases, Settlements and Sentencings Wendy Wysong, Nick Turner and Anthony Pan from Clifford Chance discuss last year’s most significant…
The Walgreens Whistleblower
A Landmark Settlement with Lessons Learned for Compliance Officers Walgreens reached a settlement on Tuesday, concluding a six-year investigation into…
The Key to Risk Management Success in 2019
3 Trends and Predictions In the year ahead, companies will need to find meaningful and measurable ways to align and…
13 Ways to Have a Better 2019
Inspiration from Ben Franklin Midway through January, many already struggle to uphold their New Year’s resolutions. Linda Henman shares 13…
TRACE: Brexit!
Michelle de Kluyver of Addleshaw Goddard provides an overview of Brexit and then drills down on its potential impact on…
A Look Back on the CFTC’s Robust Year in Enforcement
And What Lies Ahead Gregory S. Kaufman and Amber S. Unwala of Eversheds Sutherland (US) LLP review enforcement activity by…
A Cybersecurity Compliance Crystal Ball For 2019
What Recent News Means for the Future The compliance landscape is changing, necessitating changes from the compliance profession as well.…
5 Upcoming Trends in Compliance
Taking on Heightened Security and Privacy Concerns 2018 demonstrated that cyber threats are far from being tackled. Not only did…
3 Key Compliance Trends for 2019
Data Privacy, GDPR and C-Level Collaboration Recent events like the enactment of the GDPR and high-profile data breaches have driven…
Assessing Your Hotline System
Findings from NAVEX’s Annual Study NAVEX Global recently released the annual Hotline and Incident Management Report, a key tool compliance…
How to Establish an Effective Data Quality Policy
Moving Beyond Day-to-Day Data Cleansing In the financial services industry, regulation on due process and fit-for-purpose data has grown increasingly…
TRACE on Common Due Diligence Challenges
Pia Vining of TRACE discusses the five most common due diligence challenges her team sees and the growing sophistication of…
The Foundation of a Strong Culture
How Boards Set the Tone for the Organization Boards who want to move beyond the status quo must take a…
Resilient: Shellye Archambeau on Coming Back Stronger
How can leaders rebound from serious setbacks? Shellye Archambeau, former CEO at MetricStream and board member at Verizon and Nordstrom,…
Intelligently Managing Margin Lending Risks
How to Automate Processes with Cognitive Computing Margin lending involves banks accepting credit, market and liquidity risks simultaneously and the…
Forming and Maintaining Legal Resale Price Control Policies
Minimizing Antitrust Risk in Pricing Most manufacturers continue to avoid price maintenance agreements with distributors and resellers and impose unilateral…
Communications Compliance: The Takeaway for 2019
Post-Email Channels Deserve Increased Scrutiny Text messages, social media and collaboration platforms are now squarely in regulators’ crosshairs, and organizations…
Monitoring Patterns of Behavior to Fight Fraud and Mitigate Risk
4 Common Ways Companies Miss the Mark Organizations of all sizes and industries continue to assume the risk of reputational…
TRACE: 2018 FCPA Year in Review
Kara Brockmeyer, former Chief of the SEC’s FCPA Unit and now with Debevoise & Plimpton, discusses key enforcement actions, the…
Preparing Your Documents to Survive an Audit
3 Tips to Help Organizations Come Out on Top “Compliance audit” is one of the last things a financial advisory…
4 Steps to Streamline Data Subject Requests in 2019
How to Improve DSR Processes Data subject requests (DSRs) are a complex and often confusing challenge under GDPR. This article,…
The Secret Reason You’re About to Fail Your IT Audit
Turning a Key Vulnerability into a Victory No matter what an organization’s major market is, it is probably subject to…
The Expanding Role of Technology Asset Management (TAM) in Corporate Compliance
Why It’s Time for a Next-Gen Solution As organizations’ computing infrastructure expands, legacy asset management systems are becoming inadequate. To…
Follow the Money: The Polycom and Eletrobras FCPA Enforcement Actions
At the end of 2018, there were two FCPA enforcement actions — both announced on December 26. The first involved…
2018 FCPA Year in Review
The More Things Change, The More They Stay the Same With 2018 officially behind us, Michael Volkov looks at FCPA…
Battling AML Risk in the Casino and Card Club Industry
The Bank Secrecy Act and Enhanced Compliance Programs Increased regulatory scrutiny, historically high fines and now-legalized sports betting are leading…
TRACE: The World Bank – Working with SMEs After Misconduct
Lisa Miller, Integrity Compliance Officer with the World Bank Group, describes the work her team does to help bring small-…
A Persistent Threat in Financial Services
Key Controls on Web Use to Avoid Regulatory Scrutiny For regulated investment firms, the SEC has prioritized cybersecurity, governance and…
Best of 2018: Top Banking Regulations & Security Compliance Requirements
As 2018 draws to a close, we’re taking a look back at some of the most valuable insights our authors…
Best of 2018: 5 Predictions About Blockchain and Compliance
As 2018 draws to a close, we’re taking a look back at some of the most valuable insights our authors…
Best of 2018: Audit and the Rise of Robotic Process Automation
As 2018 draws to a close, we’re taking a look back at some of the most valuable insights our authors…
Best of 2018: The Compliance Handbook
Published by Compliance Week and Available Now on Amazon Tom Fox, the Compliance Evangelist, is one of the leading writers,…
10 Ways to Improve Your Risk Assessment Process
Guidance for Executive Management and the Board Protiviti’s Jim DeLoach discusses strategies to enhance the risk assessment process, from ensuring…
New Year’s Resolutions: Cybersecurity Should Be at the Top of Your List for 2019
3 Emerging Areas of Concern Information Security Forum recently released “Top Emerging Threats for 2019,” an annual outlook on the…
The 2019 TRACE Bribery Risk Matrix Rankings for Asia-Pacific
New Data is Key to Anti-Bribery, Anti-Corruption Efforts TRACE International published an updated Bribery Risk Matrix earlier this month, and…
Should THAT Be in a Personal Online Profile?
Mitigating a Multitude of Social Media Risks Employees using business-oriented social media sites could be inadvertently exposing the company to…
The Growing Problem of Corporate Fraud
And Striking the Right Balance to Fight It The reality is that the vast majority of corporations have a fraud…
TRACE: Lottery Fraud
Tax evasion, money-laundering and fraud: Jeff Kelly Lowenstein describes his research – and that of colleagues – into the surprising…
5 Ways AI is Impacting AML and KYC Compliance
Revolutionizing the Fight Against Financial Crime Artificial intelligence (AI) has the ability to completely transform how banks perform anti-money laundering…
2019: Will Money Launderers Meet Their Match?
The Outlook for AML in the Year Ahead 2018 proved to be a challenging year in the fight against money…
The Risk Management Roadmap
Simple Navigation for a Complex World Protiviti’s Jim DeLoach shares insights on the myriad of risk-related challenges facing corporations today…
What Makes a Cyber Data Breach Expensive?
The Real Costs to Companies People get emotional over cyber data breaches, and the media loves to report on the…
Whistle While You Work, Part 1
Whistling in the Dark: Portals as Key to an Ethical, Transparent Culture This is the first installment in a series…
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…
