Compliance

Putting Plans Into Effect As tech evolves, so too does the compliance landscape, and keeping up can prove quite the challenge for many businesses. Here, we share trends and predictions from Anthony West, CTO at Actiance and an expert in electronic communications compliance. While 2017 was spent frantically preparing for regulations like MiFID II and GDPR, 2018 looks to be...

How Compliance Can Help Effective business continuity planning starts with honest assessments of risk areas, plus resolve, resources and funding to address those risks. For the past 10 years, we’ve conducted primary research on business continuity and resilience, focusing specifically on IT systems, given their essential role to the functioning of today’s enterprises. A decade of research into business continuity...

4 Considerations to Mitigate Risk Among the chief concerns of those using blockchain (and its critics) is the lack of transparency. Currently, users can unwittingly violate OFAC sanctions, among other regulations. Clifford Chance’s Wendy Wysong and Ali Burney explore how businesses can guard against the risks inherent in using blockchain technology. with co-author Ali Burney Blockchain, the technology that underpins...

How Effective and Efficient is Your Process? In-house investigation teams are expected to be agile to be able to help organizations in addressing cases that come from whistleblowing channels and sustaining the ethical standards of the organization. By supporting your investigation teams with measures to assess effectiveness and efficiency you can help make the teams more agile and enable them...

How to Mitigate Risk and Liability When allegations of misconduct are raised, leadership should quickly turn its attention to an internal investigation. Depending on the nature of the supposed wrongdoing, the matter may need to be investigated quickly. But a haphazard investigation won't do. Jeffrey Klink offers seven steps to a successful investigation. Businesses regularly confront allegations of internal misconduct....

An Increased Focus on Measuring Behavior In 2018, all signs point to an increased focus on measuring behavior and a deeper understanding of program effectiveness. Learn more about this trend below, and read all eight of SAI Global’s trends and predictions here. Advances in ethics and compliance training technology and learning management systems (LMS), as well as a growing maturity...

Along with Increases in Productivity and Reach Come Real Risks New collaboration platforms such as Slack and Facebook Workplace are rapidly gaining traction in businesses large and small, especially among younger workers and millennials who gravitate to these tools because they are much more immediate and efficient than trading emails or voice messages. However, such gains in workforce productivity can...

Follow the Resources How do you know whether your ethics and compliance program will succeed? One surefire way to gauge its potential efficacy is to see just how well equipped it is to do the job at hand. Does your compliance team have the manpower and budget it needs? An effective ethics and compliance program depends on the Chief Compliance...

In the event you don’t already have a robust and meaningful set of compliance and ethics KPIs at your company, Jim Nortz offers a couple of things you might consider doing to remedy the situation:

According to new research from The Risk Advisory Group, third party risk is the number one priority for compliance professionals in 2018. In order to manage their third party relationships efficiently and mitigate the risk, compliance professionals are increasingly turning to technology to help. But what are the benefits and what is the real value of moving to an online system?

When participating in a transaction, there are many steps to consider and take to seamlessly carry out a sale. Allocating resources and effectively communicating are key for successful due diligence, the process prior to finalizing an M&A transaction.

Like Achilles or Sampson, the power and potential of AI has a weakness, a vulnerability. In the case of financial services that weakness is its opacity. In general, the better the machine learning system, the blacker the box - that is, the harder it is to decipher what is going on inside the model.