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...
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.
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.
The potential unintended consequences of the Affordable Care Act are unsettling enough, but even without the ACA, employers have been stung by soaring increases in health insurance premiums
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."
In the program’s first two fiscal years, the SEC received a total of 6,573 whistleblower tips. Although tips flowed to the SEC at the rate of nearly a dozen each business day, whistleblower awards were both rare and insubstantial for most of the first two years of the program. Yet, in the last few weeks of the program’s second full...
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 ...
While your compliance focus group may not be quite the game changer that the Louisiana purchase was for the U.S., it will certainly provide you solid information on your compliance program that you can use to move it forward.
I am married to a lovely Sicilian-born woman. One thing her family has taught me: the value of family loyalty and love. That same principle does not apply when it comes to the relationship between the Apple monitor and Apple.
Recently enacted state legislation that aims to boost hiring may actually jeopardize California employers who are trying to safeguard their existing workers and business assets.
In August 2011, the U.S. Securities and Exchange Commission finalized its Dodd-Frank whistleblower incentive program to assist in discovering and investigating potential violations of securities regulations.
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.
Founded in 2010, CCI is the web’s premier global independent news source for compliance, ethics, risk and information security.
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