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Are you grappling with the practical implications of new technologies? What does it all mean from a regulatory and organizational perspective, and what does the future look like for compliance pros? ICA’s Mark Taylor weighs in. Do you remember the...
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Christopher Magno, Terrance McCue and Michael Gordon discuss the pervasive yet elusive concept of bias, offering guidance on how to spot common biases and useful tips on mitigating their effects on your risk assessments. While we as compliance specialists, attorneys...
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As the news of the day should make clear, blowing the whistle is never an ideal proposition. Even with legal protections in place, whistleblowers face a host of risks. Marcy Maslov shares her personal story as a whistleblower. Whistleblowing is...
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The “ABC test” on the gig economy (e.g., Uber and Lyft drivers) is trending in the media. Elliot Dinkin reveals that AB5 will affect almost all companies who rely on independent contractors in California — and other states are expected...
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ESG concerns are increasingly impacting shareholder activism, in turn pressuring boards to engage with investors on these subjects. Farient Advisors’ Marc Hodak shares the way these trends will shape investor relations, corporate governance and compliance. Corporate Compliance Insights: How has...
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Is your organization still working toward GDPR compliance? You may be closer than you know. comforte AG’s Jonathan Deveaux outlines the key similarities between the requirements of the PCI DSS and the GDPR. It is now apparent that data has...
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FiscalDoctor CEO and President Gary Patterson discusses takeaways from the latest NACD Public Company Governance Survey – guidance pertinent for small and mid-sized businesses (SMBs) and large organizations alike. Small and medium-sized businesses (SMB) must often live with the reality...
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Reputation and crisis specialist Michael Toebe discusses the “stink test,” a practical technique for analyzing and making decisions in the corporate world. Well-formed decision analysis is not only a necessary, critical process; it is, if done expertly, far smarter, improved...
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The five pillars of the cognitive risk framework (CRF) are designed to provide a 3D view of enterprise risks. James Bone details here additional levers of risk governance in the final three pillars of the CRF. In earlier installments, James...
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Continually evolving data privacy legislation has put three approaching storm fronts on a collision course. Sandy Erez stresses that corporations should chart the unknown terrain to avoid ending up in the public eye of that potential “perfect storm.” A Legislative...
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Vault Platform CEO Neta Meidav explores how to create a “speak up” culture in the workplace – one that ensures employees don’t fear retribution if whistleblowing or reporting harassment. Though the roots of #MeToo trace back upward of a decade,...
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A compliance officer’s job can be complicated enough, but some financial institutions impose hardship by having too many disparate solutions working on the same problem. CaseWare RCM’s Eric Hansen explains why working in these compliance silos can make it more...
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- Iconix Brand Group, Inc., Neil R. Cole and Seth Horowitz December 5, 2019SEC Charges Iconix Brand Group and Former Top Executives with Accounting Fraud
- Lester Burroughs December 5, 2019SEC Charges Connecticut Man with Defrauding Retail Investors
- SBB Research Group LLC, et al. December 4, 2019SEC Charges Hedge Fund Adviser and Top Executives with Fraud
