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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...

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...

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...

The Impact of Humor on Decision-Making A sense of humor is an invaluable thing. Not only does it endear us to each other and help to form bonds between us, but it can be a lifesaver in unthinkable conditions. According...

As a marketer, I’ve had the opportunity to attend a lot of ethics and compliance (E&C) conferences and events around the United States in the past 24 months. At these events, I’ve noticed that Chief Compliance Officers and other E&C...

The Driver Behind Enterprise Situational Awareness Intelligent automation is an emerging solution to enable intelligent decision-making at the strategic level, but it doesn’t necessarily have to be complex or require cumbersome new infrastructure. In fact, since overly complicated approaches to...

Employers Face Steep Penalties Fines are going up, and courts are getting stricter regarding employment eligibility compliance. Employers who aren't on the ball with their documentation and recordkeeping practices are at risk. Be sure to take particular note of a new...

Responding to a Cyberattack Hardly a day passes without a data breach revelation in the news, and perhaps no industry is more vulnerable for future attacks than health care. In 2015, the health care industry experienced more breaches stemming from...

“Broken Windows” and Employee Misconduct The broken windows theory proposed by James Q. Wilson and George Kelling links disorder to subsequent occurrences of serious crime. Michael Volkov suggests it can be applied in a corporate setting as well. Anytime employee...

Key Challenges and Benefits of AI Machine learning and artificial intelligence have become buzzwords in the financial services industry. Daniel Fernandez helps to break down the difference between the two terms and explains how these technologies are being used by...