Compliance

How will Trump impact compliance? This download offers insights from top compliance professionals: Tom Fox, Michael Volkov, Jay Rosen, Jonathan Armstrong and Matt Kelly. From the "Everything Compliance" podcast.

News recently broke that the SEC’s Office of Compliance Inspections and Examinations (OCIE) is examining registrants’ compliance with the whistleblower provisions of the Dodd-Frank Act. This only highlights the need for companies to review policies, procedures, employment/separation agreements, etc. to ensure they are compliant.

Many Americans are concerned about potential changes to trade and economic sanctions following Donald Trump’s election as President. Significant and strategic foreign investments must be cleared through the Committee on Foreign Investment in the United States – an important check to maintain national security and prevent foreign entities from gaining control over critical assets and infrastructure.

The year is coming to a close, but financial criminals aren’t taking a holiday. Each month, Ahmed Taimour brings us compliance news from around the world, and today, we share a roundup of the latest developments in anti-money laundering and recent sanctions and fines.

While there are many benefits to migrating your compliance program to a SAAS provider, the process of finding the right vendor can be daunting. In this 15-page white paper, My Compliance Office offers step-by-step guidance.

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.

Recent SEC settlements should cause in-house counsel to assess their current separation agreements and company policies to ensure the documents do not impede whistleblower protections afforded to employees under U.S. federal law. Read on for more detail.

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.

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.

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.

Companies have a new measuring stick for their anti-bribery efforts. ISO 37001 specifies requirements and provides guidance for establishing, implementing, maintaining and improving an anti-bribery management system, which can be stand-alone or integrated into an overall management system.

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.