Compliance
If your business activities take place in the U.S., you need to be doing OFAC screening. Michael Volkov offers five areas most companies that most organizations fitting this description could stand to improve upon to ensure compliance. As companies elevate...
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A CCO’s most valuable resource is time. But with high expectations and limited resources to do the job well, CCOs can quickly become overwhelmed. Michael Volkov provides a framework for dealing with some of the role’s greatest challenges. Chief compliance...
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Wendy Wysong and team discuss a recent U.S. court ruling that reinforces the well-understood rule that non-U.S. banks with branches or correspondent accounts in the U.S. must comply with U.S. government subpoenas regardless of their own country's laws. Under the...
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Do you ever wish you could take a quick “pulse check” to see how your compliance education is landing – to identify subject areas that need improved awareness and know with certainty what your people really need? Fresenius’ Mary Shirley...
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Fact is often stranger than fiction. Cybersecurity professionals know that for sure. Abacus Group’s CTO, Paul Ponzeka recommends these books to enlighten, educate and entertain cybersecurity pros and others interested in the topic. Cyber War: The Next Threat to National...
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Michael Volkov highlights three sanctions-related enforcement actions all breaking in the last six weeks – and two of which involved travel services to Cuba. He covers the violations, the circumstances and the penalties. OFAC is clearly sending a message about...
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With M&A activity on the rise, a commitment to a strong data management program can help businesses to avoid expensive — and often dangerous — compliance and risk aggregation missteps. Kelvin Dickenson of Opus explains. In 2018, there were 375...
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Thomson Reuters’ Henry Engler compiles guidance from the Chief Compliance Officers at Volkswagen, Novartis and Tenneco – principles that transcend their respective industries and are universally applicable. Prompt acknowledgement of internal wrongdoing and transparency over the lessons learned from conduct...
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Recent growth in the science of behavior has introduced new tools to the compliance officer’s toolbox. Vasco Brazão and Tania Ramos of CLOO argue that, despite our best intentions to do what is right, we often fail to act accordingly....
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Emerging technologies are complicating compliance for financial services firms. Smarsh’s Robert Cruz, an expert on information governance and regulatory compliance, shares some of the key the challenges they face, as well as a path forward. For financial firms to stay...
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Employers must make clear to their employees what compliance topics and policies are essential to the organization. As Skillsoft’s John Arendes explains, it’s to the employer’s benefit to help employees deal with information overload. The workplace continues to evolve over...
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Coalfire’s Adam Salerno discusses the process, effort and rewards of designing and implementing an automated compliance environment, as well as what organizations can do to automate security controls to meet specific compliance framework requirements. Enterprises serving multiple highly regulated industries...
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- Crystal World Holdings, Inc., et al. August 19, 2019SEC Charges Issuer for Misleading Investors in the Sale of Unregistered Securities
- Scott P. Strochak August 19, 2019SEC Charges Head Sales Agent in South Florida Alternative Investments Scheme
- Samuel Brown, et al. August 16, 2019SEC Obtains Final Judgment Against Former Stock Promoter
