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Assessing Your Hotline System

Posted by - January 17, 2019
Findings from NAVEX’s Annual Study NAVEX Global recently released the annual Hotline and Incident Management Report, a key tool compliance practitioners can use to benchmark and evaluate the performance of the company’s reporting hotline. Michael Volkov provides an overview of the findings, discussing trends and assumptions. Employee hotlines are –…
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How to Establish an Effective Data Quality Policy

Posted by - January 17, 2019
Moving Beyond Day-to-Day Data Cleansing In the financial services industry, regulation on due process and fit-for-purpose data has grown increasingly prescriptive, and the risks of failing to implement a data quality policy can be far-reaching. In this article, Boyke Baboelal of Asset Control looks at how organizations can overcome these…
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The Foundation of a Strong Culture

Posted by - January 16, 2019
How Boards Set the Tone for the Organization Boards who want to move beyond the status quo must take a more proactive role in shaping culture – culture cannot be separated from long-term growth strategies. Linda Henman discusses the critical role boards of directors must play in managing culture. Board…
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Resilient: Shellye Archambeau on Coming Back Stronger

Posted by - January 15, 2019
How can leaders rebound from serious setbacks? Shellye Archambeau, former CEO at MetricStream and board member at Verizon and Nordstrom, discusses grit, risk-taking in leadership and the power of networks. Becoming a CEO Shellye walks us through her leadership trajectory: Where she got her start, when she pivoted and why…
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Intelligently Managing Margin Lending Risks

Posted by - January 15, 2019
How to Automate Processes with Cognitive Computing Margin lending involves banks accepting credit, market and liquidity risks simultaneously and the risk is primarily dependent on collateral value that is highly dynamic. In the credit life cycle, a number of  banks – even large ones – run their complex processes in…
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Forming and Maintaining Legal Resale Price Control Policies

Posted by - January 14, 2019
Minimizing Antitrust Risk in Pricing Most manufacturers continue to avoid price maintenance agreements with distributors and resellers and impose unilateral resale price policies. Vedder Price’s Brian McCalmon discusses how what’s visible to the consumer confronted with MAP and MRP is only the tip of an iceberg comprised of a carefully…
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Communications Compliance: The Takeaway for 2019

Posted by - January 11, 2019
Post-Email Channels Deserve Increased Scrutiny Text messages, social media and collaboration platforms are now squarely in regulators’ crosshairs, and organizations are increasingly being caught unaware. Smarsh’s Mike Pagani discusses why, as firms enable contemporary communications to enhance efficiency, it’s critical to capture and supervise all pertinent communications for proactive monitoring and…
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TRACE: 2018 FCPA Year in Review

Posted by - January 9, 2019
Kara Brockmeyer, former Chief of the SEC’s FCPA Unit and now with Debevoise & Plimpton, discusses key enforcement actions, the shifting legal landscape and compliance trends from 2018, together with a few predictions for 2019.  
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Preparing Your Documents to Survive an Audit

Posted by - January 9, 2019
3 Tips to Help Organizations Come Out on Top “Compliance audit” is one of the last things a financial advisory firm hopes to hear, but it’s an inevitable, unavoidable fact of life for most. Fortunately, there are steps financial advisory firms can take to mitigate the requisite time and work…
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4 Steps to Streamline Data Subject Requests in 2019

Posted by - January 8, 2019
How to Improve DSR Processes Data subject requests (DSRs) are a complex and often confusing challenge under GDPR. This article, from data privacy and IG experts at FTI Consulting, discusses ways to streamline DSR operations and ensure they don’t overwhelm legal and compliance teams. with co-authors Nina Bryant and Tom…
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