Compliance

Australia has come under fire for a perceived failure to enforce bribery and corruption laws, but a move earlier this year to introduce deferred prosecution agreements in its enforcement arsenal is a step in the right direction. If a DPA regime does take effect in Australia, there could be significant ramifications for how companies address wrongdoing.

There are plenty of examples of executives and other senior leaders being complicit in wrongdoing – and even actively involved in a cover-up. When this happens, the CCO’s job is at risk. He or she is possibly most likely to find and expose the corruption. And this isn’t the only threat to CCOs. It’s prudent for compliance officers to protect...

Teams developing software in regulated environments face a major challenge: defining comprehensive, high-quality software requirements for regulatory compliance is critical. This article offers eight best practices to support compliance and ensure project success.

In this white paper, we describe the outlook of internal audit leaders within the financial services industry. For the first time in many years, this survey reflects the views of internal audit professionals during a time when the global economy and its financial system were recovering from the global financial crisis.

At the heart of the compliance focus with social media channels is the balance between personal and business orientation for each of the various channels – namely LinkedIn, Twitter, and Facebook. The potential co-mingling of personal and business content as a result of using the same social media channel and persona for both raises some interesting issues, however…

This whitepaper by ethiXbase seeks to examine some of the details of the Fédération Internationale de Football Association (FIFA) investigation case, the regulation paradox of sporting bodies, and the broader implications of the FIFA investigation.

In response to the Panama Papers, the U.K. has announced a new anti-money laundering and counter-terrorist finance policy. The proposed legislation may significantly impact compliance and finance professionals. With this and other regulatory changes coming down the pike, how can companies keep pace and remain compliant? Aperio Intelligence’s CEO, Adrian Ford, offers a solution.

For years, there has been talk about the need for organizations to adopt a “culture of compliance” where following the rules means embracing the spirit of them. We offer some real world ways to “bake” compliance into your organization to ensure employees do what's expected, and what's right, even when nobody is looking.

In response to the Panama Papers leak, the Financial Crimes and Enforcement Network has adopted new regulations around beneficial ownership. And frankly, the changes are long overdue. The U.S. has lagged behind many other world powers for some time when it comes to requiring transparency in financial ownership.

Volkswagen’s scandal around its false emissions data and the barrage of headlines that go with it underscore the importance of managing compliance risks and integrity in companies of all sizes. Although the scandal prompted questions about the company culture, it also highlights the difficulty of locating risk across an organization.

Today’s regulatory expectations have created increasingly intimidating compliance and operational risk management challenges on FINRA-registered broker-dealers. Bill Blythe provides clarity on the new FINRA regulation points, contests the old processes delaying the proper management of the situation and champions for a change in the mindset today’s organizations.

Complying with the Payment Card Industry Data Security Standard has become a repeated fire drill within large companies. During the annual audits and quarterly scans, security, IT and compliance leaders scramble to collect the required PCI DSS data from many siloed business units and third-party vendors. Not an efficient system, nor a reliable one.