Compliance
Cybrary’s Joseph Perry shares the importance of corporate responsibility and how to navigate the operational and reputational challenges in response to a breach. The rise of data breaches is well-documented, with thousands taking place every year and at least two...
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Whistleblower award programs had record-breaking years in 2018, with more than $243 million in award payouts. Attorneys Michael Filoromo and Zac Arbitman entreat compliance professionals to be among those stepping forward, as the law entitles them to rewards and protection...
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About this time each year – when the SEC’s Office of Compliance Inspections and Examinations (OCIE) releases its annual Examination Priorities – we are reminded of how complex compliance can be for SEC-registered firms. As Duff & Phelps’ Chris Lombardy...
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The failed Fyre Festival of 2017 serves as a cautionary tale to any who’d ignore warnings from trusted advisers and key stakeholders. Sandra Erez discusses how the Fyre Festival went so disastrously wrong – and the lesson compliance practitioners should...
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Setting the tone at the top for any new compliance program can be a daunting and challenging issue – even more so when you are a woman looking to implement a “Western”-inspired compliance program in a Middle Eastern organization managed...
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Steve Durbin, Managing Director of the Information Security Forum (ISF), discusses some of the key risks to organizations today and provides guidance on how to steer clear of them while becoming more resilient. Until recently, leading executives at organizations around...
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Fenergo’s Kevin O’Neill discusses how asset management firms and other financial institutions are being scrutinized more by regulatory bodies with respect to AML/KYC compliance and what can be done to rectify the problem. A recent report found that regulators over...
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Regulating web use for employees via compliance handbook and URL filters for blacklisted (bad) and whitelisted (good) online resources has failed to improve compliance. Authenic8’s John Klassen discusses how firms can ensure compliance without sacrificing productivity or risking an internal...
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What a difference a year makes — The Treasury Department’s Office of Foreign Asset Control (OFAC) announced two sanctions settlements in the beginning of 2019, a stark difference from 2018 when OFAC announced its first enforcement action in June 2018....
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Knowing how to engage in competitor interactions is often more art than science. There are few clear lines of conduct to guide information exchanges made for legitimate business reasons. But broad principles do exist to help you consider your options...
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Artificial intelligence could contribute multiple trillions to the global economy in the coming decade, but even while poor data quality becomes increasingly detrimental to businesses’ bottom line, AI is not yet being widely incorporated. Heidi Maher of CGOC discusses the...
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The SEC is considering a rule change that would effectively introduce a floor and a ceiling for whistleblower awards. As Phillips & Cohen Partner Sean McKessy explains, they seem to be instating a solution to a nonexistent problem. The U.S....
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- Celadon Group, Inc. April 25, 2019SEC Charges Truckload Freight Company with Accounting Fraud
- Zachary S. Berkey, et al. April 25, 2019Former Broker Ordered to Pay Disgorgement and Penalties
- Eric D. Lyons, et al. April 23, 2019SEC Halts Misappropriation and Fraudulent Securities Offering
Corporate Compliance Insights
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