Compliance

Financial Services to Test the Waters of Social Media Testimonials

Financial Services to Test the Waters of Social Media Testimonials

Until very recently, social media testimonials or endorsements from clients were strictly off limits to financial advisers. And since consumers mine social media for reviews on all manner of service providers, the financial services industry has been at a bit of a disadvantage, unable to benefit from clients’ shared positive experiences. The industry has earnestly sought guidance from the SEC...

Improving Compliance with Data Science

Improving Compliance with Data Science

Life sciences organizations face significant challenges with regard to risk management. One solution to minimizing risk may be better “big data” management, including forensic data analytics to mine mountains of data for indicators of fraud or corruption. Competitively speaking, there is immense power in big data...though that must be done with an eye on risk.

Data on the Move: The Evolution of Mobile Tech and Compliance

Data on the Move: The Evolution of Mobile Tech and Compliance

Bring your own device (BYOD) policies can be an initial cost saver for organizations, though the practice can definitely complicate things from a security and compliance perspective, especially since there is such a diverse range of mobile devices on the market, and each new iteration of smartphone or tablet captures and stores information differently.

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The Red-Headed Stranger and the Arachnys Open Data Compass

I thought about Willie Nelson when I came across a recent release by the UK company Arachnys Information Services Ltd (Arachnys), entitled Open Data Compass, about their tool designed to help businesses identify "information blind spots and evaluate online access to corporate, litigation and news records from emerging markets."

Who Was Occam? And Why Did He Need a Razor?

Who Was Occam? And Why Did He Need a Razor?

In April, as decreed by the Church of England, we commemorate the life of William of Ockham, an English Franciscan friar and scholastic philosopher who has influenced modern organizational theory—but not enough. Peter Drucker’s medieval counterpart offered the observation that “entities must not be multiplied beyond necessity,” although ...

Mitigating Bribery Risks with Financial Controls

Mitigating Bribery Risks with Financial Controls

Anti-corruption compliance is not as hard as it looks. In fact, by taking a step back, compliance professionals can gain insights. At the direction of compliance professionals, companies like to develop and adopt compliance policies and procedures. Compliance policies and procedures give the Board, senior managers and the CCO a feeling of comfort.

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