Compliance
Corporate compliance focuses on an organization’s policies, procedures, processes, and actions in an effort to avoid and/or identify violations of government laws and industry. Our compliance blog posts and news articles are written for compliance officers and legal professionals. They include compliance insights, training, events, whitepapers, podcasts, and webinars.
Character is magnified in a crisis. As the coronavirus crisis has unfolded, we’ve seen lots of heroic efforts, but also lots of selfishness. Calvin London offers some takeaways for the compliance practitioner from these troubled times. Australia, like many other...
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Whatever “flavor” of compliance incentives you offer, they need to be reassessed regularly. Jeff Kaplan and Rebecca Walker discuss what to take into account. The Sentencing Guidelines provide, in relevant part: “the organization’s compliance and ethics program shall be promoted...
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The COVID-19 outbreak is drastically changing American life, seemingly overnight. While certain industries have been hit especially hard already, it is likely this pandemic will have an impact on every business sector. Employment attorney Alyson Brown looks at this evolving...
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In the midst of the COVID-19 pandemic, many financial services firms are implementing work from home policies using collaboration tools. Theta Lake’s Marc Gilman provides background on regulatory responses and requirements, as well as practical advice about compliance considerations. As...
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Because leadership dynamics are changing, so too should the old “command and control” function of compliance. Tom Fox offers guidance to help CCOs adapt to the changing times. Given the paucity of leadership coming out of Washington during this crisis,...
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The COVID-19 outbreak is requiring companies to consider new policies and systems – ones conducive to a largely stay-at-home workforce. Smarsh’s Robert Cruz offers guidance on assessing solutions to facilitate this shift. Addressing the demands of a mobile, stay-at-home workforce...
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A circuitous path into and through the compliance profession is pretty common among compliance professionals. ICA’s David Povey discusses several of the many roles available to new compliance pros (and seasoned ones, too). Staying in one job throughout a whole...
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With U.S. sanctions compliance fines at a decade high, organizations should be taking note of how to address emerging areas of sanctions risk. BDO’s Steven Kuzma and Christian Cooper offer takeaways from OFAC’s new sanctions compliance framework. As former U.S....
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“Happy talk” amounts to empty words absent a frank, honest discussion of the issues. Michael Volkov explains one reason why so few compliance programs measure up. Chief compliance officers are heroes. They labor every day to advance a company’s ethics and...
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Comment letters from the SEC can come out of the blue, require a lot of work involving executive leadership and the board and result in changes to disclosures and internal processes. Parker Poe’s Julie Rizzo and Doug Harmon provide tactical...
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Simona Lipstaite and Michael Clauser of Access Partnership consider early-stage artificial intelligence regulations in the U.S. and EU, as well as their implications for companies operating globally. The clock is ticking on the European Union to legislate artificial intelligence (AI)....
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Smaller organizations simply don’t have the resources their larger counterparts enjoy to keep up with compliance requirements. Polyient Labs CEO Brad Robertson outlines how they can clear that hurdle. There are those who still associate blockchain technology – decentralized, transparent...
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