Compliance
More than half of all shareholder proxy proposal exclusions allowed by the SEC are based on Rules 14a-8(i)(7) and 14a-8(i)(10), according to research and analysis in our new whitepaper. In this whitepaper, Intelligize’s Rob Peters and Alyson Clabaugh leverage public company...
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Financial reporting still involves pulling data manually out of an ERP/EPM system into Excel, then manipulating the data to create custom reports – a slow and error-prone process. insightsoftware’s Craig Nickerson outlines a better alternative. A big part of financial...
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While training is helpful and important, it can get too much focus. After all, training doesn’t address the primary reasons people do what they do. Ronnie Feldman discusses the importance of changing the culture. Ethics and compliance programs tend to...
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Compliance training expert Ronnie Feldman explores the fundamental misunderstanding of ethics and compliance’s role and function in the organization, which must be overcome to successfully mitigate risk. You are smart. You’ve got a welcoming smile. You have interesting anecdotes. You’re a...
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In the advent of automated GRC tools, data-compliance professionals are shooting themselves in the feet by over-relying on old-fashioned spreadsheets. Joe Stanganelli and Alia Luria discuss a better way to manage GRC data. Terry Ray, a senior vice president at...
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With Europe’s fifth AML directive set for implementation in a matter of months, banks should be preparing now. Opus’ Kelvin Dickenson explores how the regulations have changed. In an effort to quash money laundering, sanctions evasion and the funding of...
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First published by CCI in 2014, Jeff Kaplan's Compliance & Ethics Risk Assessment: Concepts, Methods and New Directions covers an array of risk assessment ideas, methods, practices, tools and noteworthy items of C&E-related history. It's more than a compilation of...
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The Clifford Chance team covers OFAC’s recently published “Framework for OFAC Compliance Commitments,” with a particular focus on how the guidelines will impact companies based or operating in the Asia-Pacific region. with co-authors Ali Burney and Nick Turner Officials from...
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Roger Carson, Co-Founder and Global Financial Sales Director at encompass corporation, introduces the concept of digital know your customer (KYC) profiles. Created by intelligent automation, digital KYC profiles help financial institutions manage and retain valuable information, control complexity and reduce...
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Michael Volkov details the settlement between the U.S. OFAC and Haverly Systems, which was found to be in violation of federal sanctions.
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Data security is a boardroom issue, a geographical issue and a local issue. The cost of noncompliance can be crippling, both financially and reputationally.
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The Export Control Reform Act became law last August. Here, Wendy Wysong and Hena Schommer analyse what the regulation means for companies.
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- Equal Earth, Inc., et al. June 18, 2019SEC Charges Green Energy Company and Two Senior Officers with Offering Fraud Charges
- Raymond Starker June 18, 2019SEC Charges New Jersey Investor with Insider Trading
- Alton Perkins, et al. June 14, 2019SEC Charges North Carolina Businessman and His Companies with Fraudulent Offering Scam
