Compliance

It is often said that the only constant in life is change, but in the 21st century, change itself is evolving, becoming quicker and less predictable. International Compliance Association’s Simone Jones explores what’s changing and how the compliance pro can adapt. Technological advances that seemed like science fiction only 20 years ago have become staples of modern life. There are employees entering the...

Jay Rosen explores the early days of Affiliated Monitors, Inc.’s independent monitoring model, inspired by NYC’s “IPSIG” concept, but with some key changes. President and Founder of AMI, Vin DiCianni, said the initial model for the independent monitor concept came from special commissions to address improprieties by construction contractors in building public schools in New York City. Out of those...

When compliance specialist Milou Lammers was interviewing for compliance roles, she consistently asked potential employers about their HR departments. Here, she shares what their answers have to say about the organizations’ cultures. When coming up with my list of potential questions to ask in interviews during my recent job search, one that I put an asterisk next to was “does...

Fifteen years ago, the concept of independent monitoring was just getting off the ground. Jay Rosen discusses the importance of that development and AMI’s role in the change. As we return from our Thanksgiving break and prepare to wrap up 2019, I would like to reminisce about Vin DiCianni, the president and founder of Affiliated Monitors, Inc. (AMI) on the...

Are you grappling with the practical implications of new technologies? What does it all mean from a regulatory and organizational perspective, and what does the future look like for compliance pros? ICA’s Mark Taylor weighs in. Do you remember the sound of the dial-up modem? An alien ting-a-ling sound interrupted by peculiar beeping noises and a droning burr? The Early...

As the news of the day should make clear, whistlblowing is never an ideal proposition. Even with legal protections in place, whistleblowers face a host of risks. Marcy Maslov shares her personal story as a whistleblower. Whistleblowing is hard in the best of circumstances. Having made the choice to report unethical and illegal activities and almost getting myself killed for...

Do you know the five key ingredients of a successful compliance program? More to the point: does your organization have all five already? There's room for improvement in every program, but be sure you're building on a strong foundation. Kris Welch, expert in regulatory compliance and VP at Chartwell Compliance, offers her recipe for an effective compliance program.

How will the scale and scope of risk priorities change in the near future? What are the fault lines that organizations need to watch for? How will digital advancements impact GRC? And what are the ethical issues that could hamper trust? This report from MetricStream offers predictions about the changes and issues that will impact GRC in 2020 and beyond....

Corporate investigations, which can be triggered by any number of events, have become a fact of life for most companies. A new report from H5 examines current trends relating to corporate investigations, the nature of investigations companies face, the concerns that drive them, the tools and methods utilized in their pursuit, the challenges associated with conducting investigations and the outlook...

A compliance officer’s job can be complicated enough, but some financial institutions impose hardship by having too many disparate solutions working on the same problem. CaseWare RCM’s Eric Hansen explains why working in these compliance silos can make it more difficult for compliance pros to do their job. A day in the life of a compliance officer is becoming more...

Pop quiz! What’s the best time to engage an independent monitor for an M&A process? Answer: “as early as is practicable.” Jay Rosen explores how an independent integrity monitor can benefit the entire M&A process. By engaging an independent monitor as early as is practicable, there can be preliminary discussions with senior management about the process, sometimes at the CEO...

Shifting from an “outside-in” to an “inside-out” security strategy enables an organization to adapt readily to an ever-changing regulatory landscape – despite resource constraints. Optiv’s John Clark discusses. The adoption of the General Data Protection Regulation (GDPR) in April 2016 initiated a worldwide debate over consumer data privacy rights and regulations. More than three years later and 18 months since...