Compliance
The failed Fyre Festival of 2017 serves as a cautionary tale to any who’d ignore warnings from trusted advisers and key stakeholders. Sandra Erez discusses how the Fyre Festival went so disastrously wrong – and the lesson compliance practitioners should...
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Setting the tone at the top for any new compliance program can be a daunting and challenging issue – even more so when you are a woman looking to implement a “Western”-inspired compliance program in a Middle Eastern organization managed...
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Steve Durbin, Managing Director of the Information Security Forum (ISF), discusses some of the key risks to organizations today and provides guidance on how to steer clear of them while becoming more resilient. Until recently, leading executives at organizations around...
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Fenergo’s Kevin O’Neill discusses how asset management firms and other financial institutions are being scrutinized more by regulatory bodies with respect to AML/KYC compliance and what can be done to rectify the problem. A recent report found that regulators over...
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Regulating web use for employees via compliance handbook and URL filters for blacklisted (bad) and whitelisted (good) online resources has failed to improve compliance. Authenic8’s John Klassen discusses how firms can ensure compliance without sacrificing productivity or risking an internal...
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What a difference a year makes — The Treasury Department’s Office of Foreign Asset Control (OFAC) announced two sanctions settlements in the beginning of 2019, a stark difference from 2018 when OFAC announced its first enforcement action in June 2018....
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Knowing how to engage in competitor interactions is often more art than science. There are few clear lines of conduct to guide information exchanges made for legitimate business reasons. But broad principles do exist to help you consider your options...
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Artificial intelligence could contribute multiple trillions to the global economy in the coming decade, but even while poor data quality becomes increasingly detrimental to businesses’ bottom line, AI is not yet being widely incorporated. Heidi Maher of CGOC discusses the...
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The SEC is considering a rule change that would effectively introduce a floor and a ceiling for whistleblower awards. As Phillips & Cohen Partner Sean McKessy explains, they seem to be instating a solution to a nonexistent problem. The U.S....
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VinciWorks’ Sandra Erez envisions corporate whistleblowing hotlines as an outgrowth of the infamous "red phone" from the era of the Cuban missile crisis and discusses how whistleblowing methods have evolved over the years. Read Part 1 here. It is October...
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This is the time of year most of us seek to transform our circumstances by adopting better habits. Valerie Charles, Chief Strategy Officer at GAN Integrity, analyzes key ethical and regulatory issues from last year and details three practices companies...
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Transparency International recently released its annual Corruption Perceptions Index, and Brazil has fallen in the rankings. On its face, this seems like bad news, but Patricia Punder has a different take on the matter. Last week, Transparency International published its...
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- Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, and CHS Asset Management Inc. March 18, 2019SEC Halts Ponzi Scheme Targeting Vietnamese Investors
- Dale M. Walker March 15, 2019SEC Charges Former Municipal Officer with Fraud in Connection with Public Pension Funds
- Edward Withrow, et al. March 15, 2019SEC Obtains Final Judgment Against Former Medical Diagnostics Company Chairman
Corporate Compliance Insights
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