Category: Compliance

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The Responsible Technology Firm of the Future, Part 2

Posted by - October 29, 2018
Corporate Governance and Regulatory Compliance Suggestions to build and manage a strong corporate governance operation, manage conduct at the top and culture across the organization and prepare for increased government scrutiny. Read part 2 of this four-part series from Protiviti here. Read part 1 here. This series was originally shared…
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The Responsible Technology Firm of the Future, Part 1

Posted by - October 25, 2018
A Rapidly Changing and Unpredictable Landscape The changing landscape is altering the conversation at the highest levels of technology companies, necessitating action to make the transition to a more balanced focus in the C-suite and boardroom agendas on governance and regulatory concerns, social responsibility to the greater community issues, and…
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How The DOJ’s New Guidelines on Monitorships is an Opportunity for Corporations

Posted by - October 23, 2018
Navigating New Criminal Division Guidance and Accelerating Remediation The Department of Justice’s Criminal Division has recently issued new guidelines for corporate compliance and monitorships, and Bart Schwartz, Chairman of Guidepost Solutions, discusses the opening they provide to businesses to reassess and bolster their compliance programs. In his remarks at the…
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The Importance of a High-Risk Due Diligence Committee

Posted by - October 18, 2018
A Call for Greater Multidisciplinary Oversight As your company’s reliance on third parties grows, so too does the risk associated with doing business with these relatively unknown partners. Michael Volkov entreats companies to put in place more robust due diligence processes to minimize their third-party risks. Believe it or not,…
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Finally, an Overhaul for AML Legislation

Posted by - October 15, 2018
A New Anti-Money Laundering Regime for a New Century The landscape of AML regulations is scattered, with its primary legislative supports coming from 1970, 1996, and 2001. This article discusses the proposed bill, its bipartisan support as identified by hearings already conducted on the subject, and its implications for financial…
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Braving the M&A Sanctions Storm

Posted by - October 5, 2018
Challenges Posed by New Sanctions SIX’s Oliver Bodmer discusses difficulties companies face in navigating compliance matters associated with the flurry of U.S. sanctions posed this year. He shares insights in particular on challenges within the M&A space, as well as on the complexities when pursuing and closing transactions with companies with…
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Procurement and Compliance Getting Closer than Ever

Posted by - October 1, 2018
Key Findings from Dun & Bradstreet Report Brian Alster, Global Head of Supply & Compliance at Dun & Bradstreet, outlines results from the Dun & Bradstreet 2018 Compliance and Procurement Sentiment Report. With data gleaned from business leaders across compliance and procurement functions, he discusses the top concerns and challenges…
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OFAC Enforcement: The Epsilon Case and Third-Party Risks

Posted by - September 27, 2018
What the Decision on Epsilon’s Sanctions Violations Means for Companies Michael Volkov discusses Epsilon’s sanctions violations, the resulting “reason to know” requirement and the potential impact to companies going forward. The Department of Treasury’s Office of Foreign Asset Control (OFAC) recently announced the settlement of the Epsilon enforcement action (here). …
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Integrating Remediation Management Into Your Operations

Posted by - September 26, 2018
Addressing Regulatory Compliance Issues Point B’s Steve Hall and Sydney Rickelman discuss the benefits of a remediation management office (RMO) and how organizations can establish and execute one, leading to significant time and cost savings. with co-author Sydney Rickelman Maintaining compliance can feel like a moving target. Organizational growth resulting…
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Treat Regulatory Compliance as an Opportunity, Not a Threat

Posted by - September 24, 2018
Maintaining a Competitive Edge in the Banking Industry Compliance professionals know it well: the organizations that embrace compliance and adopt a culture of ethics absolutely reap the benefits from a business perspective. John Freeman, Chief Legal Officer at Tata Communications, discusses why a positive approach to compliance is essential. Regulatory…
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Compliance Mistakes Can Cause Real Damage

Posted by - September 20, 2018
11 Common Pitfalls This is the third part in a series on truths about global compliance. This installment provides a rundown on some of the most common compliance failures. Read Part 1 and Part 2, and download the full version from TMF Group to learn more. Compliance is a mandatory aspect…
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Organizations Need a Global Compliance Framework

Posted by - September 13, 2018
When thinking about handling compliance at scale, creating a global framework can allow the organization to grow without limit. How challenging is it to work in compliance these days? World-class compliance experts from TMF Group share their views. This is the second part of the series 5 truths about global compliance.…
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