Compliance

Investment in Compliance Professionals Rising Too Slowly to Meet Increasing Compliance Risk: Deloitte/Compliance Week Survey

The “In Focus: Compliance Trends Survey 2014” report was a joint effort between Deloitte and Compliance Week. Executives were surveyed across functions including ethics, compliance, risk management, and governance and across multiple industries, and the results are clear: findings underscore the growing scope and complexity of the modern corporate compliance function. And while focus on compliance is growing, it's not...

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In China, FCPA violations are rampant, and maintaining compliance is no picnic. Despite its relatively moderate ranking on the Corruption Perceptions Index, China is arguably among the worst offenders; between the government’s stronghold on the marketplace and the lack of financial controls, bribery of government officials has been commonplace. Until now. Recently, the country’s president began an assault on corruption,...

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Financial Services to Test the Waters of Social Media Testimonials

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...

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Improving Compliance with Data Science

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.

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Who Was Occam? And Why Did He Need a Razor?

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 ...

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