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Evidence of Widespread Consumer Finance Violations Mounts On July 21, 2017, OSHA determined that Wells Fargo had unlawfully retaliated against a former branch manager who reported her colleagues for fraudulently opening customer accounts. The announcement marks the most recent in a series...

A Lesson on Faulty Risk-Taking It’s impossible to plan for – or even imagine – every eventuality when assessing risk, but a pragmatic approach is never ill-advised. The folks at the Discovery Channel learned a hard lesson when a television...

Control or be Controlled: 5 Problem Areas for Boards Compliance is evolving, and board members may now be unsure of their related responsibilities. Board members are more and more reliant on the data obtained from information systems to make their...

Here’s How They’re Failing The relationship between compliance officers and the company’s top leadership is a hot one these days, and there are specific ways CEOs can be more effectively supporting compliance practitioners. It’s a complex relationship, but one bears...

How Much Reliance on Technology is Too Much? The last few years have seen a significant rise in regtech, technological solutions for compliance. These solutions can be hugely helpful to companies as their compliance burdens increase in scope and complexity,...

A Compliance Officer’s Role in Mitigating This Risk Mobile computing presents a unique set of challenges to compliance officers. Our devices are truly omnichannel and not just dedicated to one aspect of our lives.  No organization can be fully compliant with...

What Does This Mean for You? The Department of Justice (DOJ) has increasingly been using pretrial diversion programs, which often take the form of deferred prosecution agreements (DPAs) and non-prosecution agreements (NPAs), as a tool to hold corporations accountable for...

And How an Automated Solution Can Help You Overcome Them In 2017, it’s time for many organizations to stop viewing risk management in silos and begin implementing a comprehensive enterprise risk management (ERM) program. Adoption is slow, however, due to...

Lessons from Panama One Year On It’s been more than a year since the Panama Papers incident, the leak of more than 11 million documents pointing to a lack of corporate transparency around shell structures. As a result, the global...

4 Techniques for Auditors While data analytics in audit has been discussed for more than two decades, most internal audit teams are just beginning to make serious investments to embed analytics in their engagements and processes. Vendors highlight techniques such as predictive and prescriptive analytics; however, it is often unclear...

What Kinds of Social Media Posts are Protected? Employees are increasingly using social media to complain about their employment and employers.  As a result, employment-law retaliation claims based on social media activity are on the rise. Employers must treat social...

Morals and Morale in the Workplace There’s a degree of trust at every level of an organisation. Depending on size, it may or may not be easy to communicate with every echelon, but senior figures should always be fully aware...