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Following last year’s Principles for Improving Board Risk Reporting comes an updated list. This expanded set of principles comes from Protiviti’s Jim DeLoach and Rick Steinberg, CEO of Steinberg Governance Advisors. While the original six principles focused primarily on what...

In this critical time for compliance officers, Volkov explores the implications of the DOJ's latest move.

ISO 37001 specifies requirements and provides guidance for establishing, implementing, maintaining, reviewing and improving an anti-bribery management system. There is, of course, good cause for businesses in India to adopt the new standard, but it’s likely that there will be...

Driven by technology advances, GRC is going through a sea change. Practitioners are completely rethinking the GRC infrastructure and will use digital transformation and data analytics to make their programs far more responsive to the evolving needs of their organizations....

The Fourth-Party Challenge The identification and monitoring of fourth-party vendors has become an increasingly important piece of the vendor management puzzle, especially with the announcement of SSAE 18, which takes effect in just a few months.  SSAE 18 requires the...

“Collaboration, not Subordination” Captive compliance programs are hamstrung programs. Compliance officers who enjoy independence and are able to collaborate with legal, HR and other key business teams… they’ll be far more effective. We’ve long discussed the need for compliance officers...

The Case for a Compliance SME Just as it wouldn’t be wise to have a tax attorney negotiate a bribery settlement, you don’t want someone with minimal compliance experience serving as your board’s subject matter expert on compliance. The DOJ...

The 2016 Rio Olympic Games presented a timely view of the immense impact corruption can have on not only a country’s government, but on their economy as well. A world event hosted by a country amid the impeachment of their...

Pro-employee regulations have been a hot topic on the campaign trail this year, and employees are slowly being granted more rights and better working conditions. It’s a welcome development, but the changes pose unique challenges for midsize employers. Namely’s technology...

Human rights violations in business, particularly in the form of human trafficking, modern-day slavery and forced labor, continue to be a major worldwide issue. A company that uses suppliers engaged in such actions could sustain significant fines and reputational damage....

In this article, Dan Zitting, Chief Product Officer at ACL, gives an in-depth analysis of the future of the traditional auditor, offers tips for innovation and progress in the industry, gives transformation examples from the field and explains a three-fold...

The SEC has recently brought cases against national audit firms for audit failures – the first since 2009. This development signals a shift among regulatory agencies to hold financial gatekeepers more accountable. Candela Solutions’ Ron Kral offers five tips to...