Corporate Compliance Insights

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New features are designed to help financial services firms meet increasing demands for digitizing compliance programs  Introduces automation technology for managing compliance of legal documents and marketing materials/financial promotions  Adds unique functionality for managing side letter compliance  Expands capabilities for reviewing and approving marketing materials in line with the SEC’s new Marketing Rule  Integrates e-learning courses to help enhance employee compliance  April...

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Washington D.C. (April 9, 2021) —  The SEC’s Division of Examinations today issued a Risk Alert to highlight observations from recent exams of investment advisers, registered investment companies, and private funds offering environmental, social, and governance (ESG) products and services. Click here to see the Risk Alert, and check out everything the SEC has done in Response to Climate and ESG Risks and Opportunities here.

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Expansion to Speed and Simplify Search, Analytics and Accessibility Of Enterprise Communications Data  AWS-hosted and AI-powered Platform Greatly Improves Speed and Accuracy for Data Retrieval of Email, Messaging, Voice Communications and Structured Data to Help Customers Meet Compliance Obligations  NEW YORK (April 6, 2021) – Behavox, which uses AI to enable enterprises to organize and refine their data into actionable information that protects...

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New Solution to Reduce Compliance Risk for Wealth Management, Insurance Firms Selected by leading global financial services organizations, SURVEIL-X Suitability is powered by new risk detection capabilities which address complex regulatory requirements Hoboken, NJ (April 6, 2021) – Financial services organizations that provide investment advice and which sell life insurance, annuities and other wealth products are finding that regulators are escalating how...

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Tom Fox’s FCPA Year in Review: A Look Back at the Corruption Cases That Defined a Tumultuous 2020

2020 was a very significant year for every compliance practitioner and compliance program. Not only was it the year with the single highest Foreign Corrupt Practices Act (FCPA) fine ever -- and the largest year in total FCPA fines to date -- but there were significant enforcement actions, fines and penalties assessed against corporations, coupled with a large number of individual prosecutions....

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Featured image for MetricStream Holistic Compliance ebook

  Everyone has a key role to play in ensuring that the organization stays true to its mission, but compliance officers have a unique responsibility. This resource walks you through the key focus areas in that process: how to adopt a risk-based and federated approach, how to track regulatory engagements while keeping policies in sync with evolving regulations -- all while focusing on integrity...

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How to Outsmart Money Laundering Networks: a New Paradigm for More Efficient AML

This free 30-page eBook explores graph analytics as an AML tool to uncover money laundering networks and improve financial crime compliance. Despite efforts spent on AML, recent reports from the leaked FinCEN Files shed light on the weaknesses in the global anti-money laundering system that are allowing criminal activity to remain undetected. The AML system seems to be broken. Does that mean...

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Historic level of enforcement action during national health emergency continues March 26, 2021 – The Department of Justice announced an update today on criminal and civil enforcement efforts to combat COVID-19 related fraud, including schemes targeting the Paycheck Protection Program (PPP), Economic Injury Disaster Loan (EIDL) program and Unemployment Insurance (UI) programs. As of today, the Department of Justice has publicly charged...

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Expands Kroll Responder MDR and XDR services and launches next-generation managed SOC NEW YORK (March 25, 2021) – Kroll, the world’s premier provider of services and digital products related to governance, risk and transparency, today announced that it has acquired Redscan, an award-winning cybersecurity services provider based in the United Kingdom. With the addition of Redscan and its extended detection and response (XDR) enabled security...

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Significant increase in the number of riots, demonstrations and vandalism, as terrorism events decline, means civil unrest is now the main political risk exposure for companies, resulting in significant losses and insurance claims. Impact of political violence can cause business disruption beyond physical property damage. COVID-19 pandemic is likely to fuel further disturbances. Business continuity planning needs to explicitly address civil unrest, particularly...

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As Well As Reducing Budgets, The COVID-19 Pandemic Has Heightened Organizational Risks and the Need for Audit Oversight Stamford, CT (March 24, 2021) – A September 2020 study of 299 internal audit organizations showed that the function faced both declining budgets and a significantly expanded workload in 2020, according to Gartner, Inc. “For many heads of audit, it’s not clear where the...

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Everyone has a key role to play in ensuring that the organization stays true to its mission, but compliance officers have a unique responsibility. This resource walks you through the key focus areas in that process: how to adopt a risk-based and federated approach, how to track regulatory engagements while keeping policies in sync with evolving regulations -- all while focusing on integrity and...

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