Browse by topic
The Future of Data Privacy Regulation
DataGrail Co-Founder and CEO Daniel Barber posits that as we head into a new decade, 2020 will be the year that data privacy regulation finally takes off and the government begins to put stakes in the ground for a...
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...
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 “IPSIG” concept, but with some key changes. President and Founder of AMI, Vin DiCianni, said the initial model for the independent monitor concept...
DOJ Updates FCPA Corporate Enforcement Policy Again
The DOJ recently announced updates to its FCPA Corporate Enforcement Policy. Michael Volkov shares how, while the changes were relatively minor, the modifications underscored important principles surrounding the FCPA Corporate Enforcement Policy. There is no question that the DOJ...
The Social Construction of a Scandal
Do corporate execs and legal counsel truly understand the role news media plays in establishing the narrative about fault and consequences when a scandal arises? Michael Toebe offers guidance on responding well. How significant a crisis may become with...
Ericsson Agrees to Pay Over $1 Billion to Resolve FCPA Case
DOJ Office of Public Affairs (December 6, 2019) -- Telefonaktiebolaget LM Ericsson (Ericsson or the Company), a multinational telecommunications company headquartered in Stockholm, Sweden, has agreed to pay total penalties of more than $1 billion to resolve the government’s investigation...
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 for fraud detection and prevention. Jeff Thomson, CEO of Institute of Management Accountants, expands on how these professionals can play an integral role...
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 than ever, senior executives and directors are acutely aware that culture plays a role in delivering outcomes – both...
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 their HR departments. Here, she shares what their answers have to say about the organizations’ cultures. When coming up with my list of...
DiCianni’s Idea: How It All Got Started
Fifteen years ago, the concept of independent monitoring was just getting off the ground. Jay Rosen discusses the importance of that development and AMI’s role in the change. As we return from our Thanksgiving break and prepare to wrap...
The Evolution of Compliance
Are you grappling with the practical implications of new technologies? What does it all mean from a regulatory and organizational perspective, and what does the future look like for compliance pros? ICA’s Mark Taylor weighs in. Do you remember...
The Curious Case of Bias in Risk Assessments
Christopher Magno, Terrance McCue and Michael Gordon discuss the pervasive yet elusive concept of bias, offering guidance on how to spot common biases and useful tips on mitigating their effects on your risk assessments. While we as compliance specialists,...
The Truth About Whistleblowing
As the news of the day should make clear, blowing the whistle is never an ideal proposition. Even with legal protections in place, whistleblowers face a host of risks. Marcy Maslov shares her personal story as a whistleblower. Whistleblowing...
The Potential Consequences of California’s AB5
The “ABC test” on the gig economy (e.g., Uber and Lyft drivers) is trending in the media. Elliot Dinkin reveals that AB5 will affect almost all companies who rely on independent contractors in California — and other states are...
How ESG Trends Impact Corporate Governance and Compliance
ESG concerns are increasingly impacting shareholder activism, in turn pressuring boards to engage with investors on these subjects. Farient Advisors’ Marc Hodak shares the way these trends will shape investor relations, corporate governance and compliance. Corporate Compliance Insights: How...
How PCI DSS Compliance Can Crossover to Help Businesses Adhere to GDPR
Is your organization still working toward GDPR compliance? You may be closer than you know. comforte AG’s Jonathan Deveaux outlines the key similarities between the requirements of the PCI DSS and the GDPR. It is now apparent that data...
Top Risks & Governance Strategies for the Less than Fortune 1000 Company
FiscalDoctor CEO and President Gary Patterson discusses takeaways from the latest NACD Public Company Governance Survey – guidance pertinent for small and mid-sized businesses (SMBs) and large organizations alike. Small and medium-sized businesses (SMB) must often live with the...
The Protective and Corrective Quality of the “Stink Test”
Reputation and crisis specialist Michael Toebe discusses the “stink test,” a practical technique for analyzing and making decisions in the corporate world. Well-formed decision analysis is not only a necessary, critical process; it is, if done expertly, far smarter,...
The 3 Final Pillars of the Cognitive Risk Framework
The five pillars of the cognitive risk framework (CRF) are designed to provide a 3D view of enterprise risks. James Bone details here additional levers of risk governance in the final three pillars of the CRF. In earlier installments,...
Taking Shelter From the Perfect Data Privacy Storm
Continually evolving data privacy legislation has put three approaching storm fronts on a collision course. Sandy Erez stresses that corporations should chart the unknown terrain to avoid ending up in the public eye of that potential “perfect storm.” A...
From #MeToo to #SpeakUp
Vault Platform CEO Neta Meidav explores how to create a “speak up” culture in the workplace – one that ensures employees don’t fear retribution if whistleblowing or reporting harassment. Though the roots of #MeToo trace back upward of a...
Former CEO of Brazilian Petrochemical Company Charged for FCPA Violation
DOJ Office of Public Affairs (November 20, 2019) – An indictment was unsealed today charging a former chief executive officer (CEO) of Braskem S.A. (Braskem), a publicly traded Brazilian petrochemical company, for his role in a massive bribery and...
Overcoming the Pitfalls of Disparate AML Compliance Systems
A compliance officer’s job can be complicated enough, but some financial institutions impose hardship by having too many disparate solutions working on the same problem. CaseWare RCM’s Eric Hansen explains why working in these compliance silos can make it...
How M&A Benefits from Independent Assessment
Pop quiz! What’s the best time to engage an independent monitor for an M&A process? Answer: “as early as is practicable.” Jay Rosen explores how an independent integrity monitor can benefit the entire M&A process. By engaging an independent...
Preparing for Generation Z – The Future of the Front Line in Risk Management
Generation Z is poised to comprise nearly a quarter of the global workforce – and they’ll shortly become the first line of defense for most organizations. MetricStream COO Gaurav Kapoor discusses some unique attributes, expectations and risks associated with...
Simplifying Compliance with an Inside-Out Security Mode
Shifting from an “outside-in” to an “inside-out” security strategy enables an organization to adapt readily to an ever-changing regulatory landscape – despite resource constraints. Optiv’s John Clark discusses. The adoption of the General Data Protection Regulation (GDPR) in April...
Enterprise Risk 2020: Are We Ready for Security 4.0?
G4S’ Rachelle Loyear points to several risk data points from ISACA’s recent State of Enterprise Risk Management survey, offers tactics to improve risk mitigation efforts and shares tips for learning from past industry trends. If you keep tabs on...
It’s Time to Reconsider the Term “Whistleblower”
NAVEX Global CCO Carrie Penman discusses how the derogatory meaning we’ve assigned the label “whistleblower” actually discourages the reporting we train and expect employees to do when they witness wrongdoing. For many years, I’ve been concerned that the term...
Where the CCPA and GDPR Overlap and Diverge
Before the CCPA becomes law on January 1, 2020, compliance officers worldwide (not just in California or the U.S.) need to be sure their companies are compliant. Are steps taken toward GDPR compliance sufficient? Termly’s Felix Sebastian explores the...
5 Steps to Improve Board Monitoring of Compliance
Compliance professionals’ jobs are made immeasurably more difficult without the support of the board. Michael Volkov offers five concrete actions the compliance department can take to enhance the board-compliance relationship. In today’s aggressive enforcement environment, corporate board members have...
