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What Compliance Professionals Need to Know About Employee Data The deadline for the General Data Protection Regulation (GDPR) is on the horizon, and a customer's information is not the only thing that should be on a compliance practitioner’s radar. After all,...

A Tectonic Shift in Operating Models? Financial services has always been a heavily regulated industry. And while anti-money laundering and counter-terrorist financing regulations are getting more stringent by the day, financial criminals continue to find ways to bypass the strict...

Alexandra interviews Peter Humphrey today. He and his Chinese-American wife were well-respected compliance professionals active in China when they were arrested, tried and imprisoned for two years. Peter tells the story of his practice, ChinaWhys, which conducted American-style FCPA investigations,...

The Need for Regulatory Support Financial institutions and federal bank regulators can integrate location intelligence as a regulatory technology (Regtech) solution to ensure compliance with anti-money laundering (AML) standards, financial inclusion requirements, and fair lending regulations. This article outlines the...

​$500 billion dollars. That’s the size of the skin care and beauty industry in the U.S. alone. In this increasingly competitive and disruptive marketplace, how can both new and established companies differentiate themselves? Mike Indursky, the former CMO of Burt’s...

Rethinking Independence in Internal Investigations Demonstrating and ensuring independence in internal investigations is a critical issue for corporate counsel to consider, especially when facing or anticipating parallel regulatory probes. How to properly do so is a nuanced process: as this...

Addressing the Bias Problem Though virtually every involved party was at fault to some degree, bias on multiple fronts was largely the cause of the 2008 financial crisis. Given that bias in risk management can result in a disastrous event...

Firms Falling Short on Preparedness As a part of a cybersecurity initiative, the SEC's Office of Compliance Inspections and Examinations (OCIE) recently performed examinations of 75 firms to assess industry practices and compliance issues associated with cybersecurity preparedness. The exams...

Expanding the View to Include Culture Does your organization view compliance as a “check the box” exercise? Many companies do. Chuck Saia, CEO of Deloitte Risk and Financial Advisory, feels differently and shares five ways a board can start broadening...

Is Your Program Adaptive? True Office Learning works with major corporations to provide detailed compliance insights through data analytics. Over the years, they’ve learned a lot about how employees learn and the benefits of creating adaptive learning environments. This kind...

Today, Alexandra Wrage revisits the Bernie Madoff story from a different perspective. Diana Henriques is an award-winning financial journalist with the New York Times and author of “The Wizard of Lies: Bernie Madoff and the Death of Trust.” Diana drew...

The Bermuda Triangle of Leave Compliance Employee leave laws offer employees a variety of protections, but can create a confusing compliance situation for employers.  Leave situations are so fact-specific that few, if any, bright-line rules exist to guide employers. Recent court...