Corporate Compliance Insights

Unaoil whitepaper graphic with gavel

The bribery described here is audacious; the scale of the corruption is stunning.  Monaco-based Unaoil maintained a global scheme of wrong-doing that involved more than 1,400 employees, 10 countries and at least 27 different entities. The company pleaded guilty in March to arranging millions in bribes, making it one of the most significant FCPA enforcements of all time.  Will this portend a...

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laptop screen featuring Office 365 migration in progress

While moving email to the cloud can be relatively straightforward, moving messaging and collaboration channels to Office 365 raises a significant number of questions pertaining to how those communications are captured and preserved for regulatory compliance and e-discovery purposes. Office 365 offers native archiving features which require thorough analysis to determine if they are sufficient to meet each organization’s e-discovery and compliance...

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REd Flag Group's report cover

The court of public opinion often moves faster and perhaps more harshly than most courts of law. That's why The Red Flag Group surveyed business decision makers against 20 compelling questions to determine the importance of protecting reputation. The results? Interesting trends emerged here, as did the best practices that today's successful organizations are using to protect themselves from internal and external...

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Deloitte Report: Women in the Boardroom, A Global Perspective, 6th Edition

Women are still largely under-represented on corporate boards globally, and progress to change this trend continues to be slow. Deloitte's 6th edition of the "Women in the Boardroom" report outlines efforts and progress made in over 60 countries to increase the number of women occupying board seats. The report also features perspectives of three non-executive directors from Australia, Spain and the U.S....

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Electronic Communications Risk: How to Achieve Compliance Without Sacrificing Productivity

The new communication and collaboration tools millennials insist on are creating data retention nightmares in the workplace. The trouble is, the tools also bring increased productivity to organizations that rely on them. That's why compliance and IT professionals are giving in to pressure. They're abandoning prohibition policies that didn't work in the first place, and now they're struggling to stay one step...

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man using risk management software on tablet

Keylight 5.3 offers Improved Assessment Usability Overland Park, Kansas (October, 28 2019) – Lockpath, a NAVEX Global® Company, and a leading provider of integrated risk management solutions, today announced the release of Keylight 5.3. The newest update to the award-winning Keylight Platform increases the efficiency of the assessment capabilities that help identify vulnerabilities and manage risk. In this update, Keylight 5.3 provides a more intuitive user experience. This continues to...

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OFAC whitepaper cover image

It's the most detailed statement to-date of OFAC’s views on the best practices that companies should follow to ensure compliance with U.S. sanctions laws and regulations, and some would call it a total "game changer." It's meant to be a roadmap for ABAC compliance practitioners working to prevent sanctions violations from occurring in the first place and, when violations do occur, to...

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Regulatory Roundup: 10 Recent FINRA and SEC Violations and Penalties

Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the financial services industry -- and many firms are feeling the impact of the increased scrutiny. Download this summary now to see how the violations occurred, including: Bank Fined $10.5 Million for Supervision Violations Clearing Firm Fined for Anti-money Laundering Compliance Failures Bank...

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three unrecognizable leaders superimposed over cityscape

Chief Customer Officer, Chief Marketing Officer and General Counsel to Help Organization Enrich Customer Experience, Drive Business Growth Portland, Oregon (October 17, 2019) – Smarsh®, helping customers get ahead – and stay ahead – of the risk within their electronic communications, today announced the hiring of two senior executives and the promotion of a third. Rohit Khanna has joined Smarsh as Chief Customer Officer (CCO),...

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index finger places atop wooden block to signfy domino effect

The Shared Assessments Program, the member-driven leader in third-party risk assurance, recently released a new set of findings and recommendations developed with C-level executives and risk experts from a dozen organizations. The briefing paper provides boards of directors and C-level executives with new findings on the role of and increasingly crucial importance of board oversight, specific high-profile case study examples of the opportunity...

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Man frustrated at desk by large amounts of paperwork

New York, NY –  10 October 2019  – Computershare has revealed a list of the most common reasons that companies are found to fall short of state compliance requirements. The company’s growing Registered Agent Services division supports companies with statutory representation, annual report filings, and transactional services to help them remain compliant. It says that its work onboarding new clients, by summarizing...

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Risk Managers: You’re Probably Spending Too Much Time Monitoring Email

Remember when email was the only way we shared information?  Modern communication methods have evolved -- and risk has grown along with it. But you know that already, right? If you’re on this page, you might already have concerns relating to communication. With official conversations taking place on social media, on collaboration platforms like Slack and Microsoft Teams -- or seemingly “invisibly”...

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