Compliance

The right retirement plan is key to maintaining compliance with ERISA

The First Step to ERISA Compliance?

The selection and administration of a company’s retirement savings program is one of HR’s most important jobs. But given the complex nature of the industry and its many rules, this isn’t always an easy task. Lisa Chui offers tips to help your company’s HR department select the best retirement plan provider while remaining compliant with ERISA regulations.

Tips to remain compliant in customer communications

Tackling the Multijurisdictional Document Compliance Challenge

Organizations in regulated industries face a significant obstacle in maintaining document compliance: regulatory requirements vary from state to state and across global markets, which hampers operational efficiency and makes compliance a nightmare. A centralized content management system simplifies the process of editing, testing, and approving changes under tight deadlines.

Businesses have some catching up to do to comply with the Modern Slavery Act

First Modern Slavery Report Shows Businesses are Behind

In an increasingly globalized world where the refugee crisis worsens daily, nearly any product or service can be tainted by forced labor or exploitation. The Modern Slavery Act requires businesses with any operations in the U.K. to report on their efforts to root out forced labor and exploitation in their supply chains. Some progress has been made, but not enough.

Compliance officers navigating personal liability risk

What Do Compliance Directors Need to Know to Sleep at Night?

The role of a compliance director is growing ever more complex as regulations and their attendant penalties continue to increase and as compliance staff begin to be held personally liable for noncompliance. LogicGate’s Jon Siegler explores processes and methods to alleviate the growing fears of a compliance director or chief compliance officer.

Regulatory changes from the consumer financial protection bureau

Broad Regulation Targets Traditional and Digital Prepaid Products

On October 5, 2016 the CFPB finalized strong federal consumer protections for prepaid account users. This new rule applies specific federal consumer protections to broad swaths of the prepaid market for the first time, and financial institutions have until October 2017 to tweak their products and institute new compliance measures to fit the new federal guidelines.

Knowing of a risk alone won’t facilitate compliance

Due Diligence Means You Must Actually DO Something

With due diligence, the expectation is that when risks are identified, something is done about them. Knowledge of a potential threat and mitigation of that problem are two very different things. The NFL could learn a thing or two about proper due diligence; its handling of recent domestic abuse among its players indicates the league doesn’t take abuse as seriously...

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