Category: Compliance

two hands holding young saplinig

The Responsible Technology Firm of the Future, Part 4

Posted by - November 2, 2018
Corporate Social Responsibility Suggestions to increase diversity and measure the improvement; monitor evolving stakeholder expectations, particularly around social responsibility; help those displaced by technology through training to improve people’s lives; and manage brand image and reputation. In addition, we offer key questions for each of the 10 suggestions to provide…
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IRS letters in green design on bank notes

ACA Penalties Are Coming

Posted by - November 1, 2018
What You Need to Know Within the last few months, employers have begun to be assessed fines by the IRS in Letters 226J for not complying with employer shared responsibility payments (ESRPs) dating back to 2015. Employers have 30 days to challenge or accept an ESRP penalty. While there is…
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The Responsible Technology Firm of the Future, Part 3

Posted by - October 31, 2018
Market Forces Suggestions to maximize the company’s innovative potential within the confines of social responsibility, pay attention to emerging risks and better position risk management and compliance within the organization and adopt a compliance framework. Read part 3 of this four-part series from Protiviti here. Read part 2 here. Read…
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surveillance camera, concept of oversight

The Responsible Technology Firm of the Future, Part 2

Posted by - October 29, 2018
Corporate Governance and Regulatory Compliance Suggestions to build and manage a strong corporate governance operation, manage conduct at the top and culture across the organization and prepare for increased government scrutiny. Read part 2 of this four-part series from Protiviti here. Read part 1 here. This series was originally shared…
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The Responsible Technology Firm of the Future, Part 1

Posted by - October 25, 2018
A Rapidly Changing and Unpredictable Landscape The changing landscape is altering the conversation at the highest levels of technology companies, necessitating action to make the transition to a more balanced focus in the C-suite and boardroom agendas on governance and regulatory concerns, social responsibility to the greater community issues, and…
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How The DOJ’s New Guidelines on Monitorships is an Opportunity for Corporations

Posted by - October 23, 2018
Navigating New Criminal Division Guidance and Accelerating Remediation The Department of Justice’s Criminal Division has recently issued new guidelines for corporate compliance and monitorships, and Bart Schwartz, Chairman of Guidepost Solutions, discusses the opening they provide to businesses to reassess and bolster their compliance programs. In his remarks at the…
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risk meter with dial pointed to max

The Importance of a High-Risk Due Diligence Committee

Posted by - October 18, 2018
A Call for Greater Multidisciplinary Oversight As your company’s reliance on third parties grows, so too does the risk associated with doing business with these relatively unknown partners. Michael Volkov entreats companies to put in place more robust due diligence processes to minimize their third-party risks. Believe it or not,…
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stack of bitcoin against shadow of terrorists

Finally, an Overhaul for AML Legislation

Posted by - October 15, 2018
A New Anti-Money Laundering Regime for a New Century The landscape of AML regulations is scattered, with its primary legislative supports coming from 1970, 1996, and 2001. This article discusses the proposed bill, its bipartisan support as identified by hearings already conducted on the subject, and its implications for financial…
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ship on a stormy sea at night

Braving the M&A Sanctions Storm

Posted by - October 5, 2018
Challenges Posed by New Sanctions SIX’s Oliver Bodmer discusses difficulties companies face in navigating compliance matters associated with the flurry of U.S. sanctions posed this year. He shares insights in particular on challenges within the M&A space, as well as on the complexities when pursuing and closing transactions with companies with…
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Procurement and Compliance Getting Closer than Ever

Posted by - October 1, 2018
Key Findings from Dun & Bradstreet Report Brian Alster, Global Head of Supply & Compliance at Dun & Bradstreet, outlines results from the Dun & Bradstreet 2018 Compliance and Procurement Sentiment Report. With data gleaned from business leaders across compliance and procurement functions, he discusses the top concerns and challenges…
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