When you’re staring down a workplace investigation, knowing what's ahead is key to keeping cool. Amy Oppenheimer and Christina Ro-Connelly offer tips on when to bring in an outside investigator, what sort of investigator to hire and what to expect during the process. Companies today...
Read moreObvious conflicts of interest and a pattern of corrupt bidding practices led to penalties announced today by the Royal Court of Justice. Sofia El Mansouri, reporting for CCI, outlines the issues and offers takeaways for today's compliance professionals. The U.K....
Read moreNo contract in the world could stop an intermediary truly determined to commit bribery, but contracts can be quite handy enforcement tools. Jim Nortz considers what makes an intermediary contract most effective. Read Part 3 here. One day in Contract...
Read moreThis whitepaper offers an Information Governance Lifecycle Model that aims to assist organizations in dealing with content on the web, on mobile devices, in team collaboration and on social media. How to Manage Communication & Collaboration Tools for Compliance As...
Read moreA recent SEC settlement with Interactive Brokers underscores the need for true commitment to compliance. Guidepost Solutions’ Megan Prendergast Millard offers four takeaways from Interactive Brokers’ AML scandal. Too often in companies across the financial services sector, the financial commitment...
Read moreMary Shirley, co-author of “Sending the Elevator Back Down” and co-host of the Great Women in Compliance Podcast, contrasts “Tall Poppy Syndrome” with the concept of using one’s success and platform to raise others up. When co-author Lisa Fine, Sarah...
Read moreThere is real benefit to dealing proactively with your organization’s past transgressions. Michael Toebe discusses how leaders should respond when their company’s skeletons are revealed. Once, organizations could mostly be concerned only about newly developing misconduct and shortcomings and failures...
Read moreAuditors need a complete understanding of the standard and how it affects their clients’ financial statements. AICPA’s Deana Thorps suggests four considerations auditors need to keep in mind when performing high-quality audits based on common challenges with accounting estimates. One...
Read moreThursday, Nov. 5, 2020 4:30 - 6 p.m. (Eastern) Lisa Fine and Mary Shirley, co-authors of Sending the Elevator Back Down: What We've Learned from Great Women in Compliance (CCI Press, 2020) will host a virtual book launch party to...
Read moreThe pandemic has forced organizations to adapt and even to abide by a new playbook when it comes to risk management. Appian’s Jay Cherrie discusses what businesses can do to recalibrate their management of risk now with ease and speed....
Read moreConducting thorough due diligence can be tedious work, but (as with most endeavors) putting in the effort yields the best results. Jim Nortz outlines a three-step process for effectively assessing intermediaries. Read Part 2 here. I am a terrible scientist....
Read moreHistorically, the Chief Risk Officer’s role has been to ensure that companies meet their regulatory and compliance obligations. Guy Underwood, CRO at Vital4, discusses how that is changing in the context of a global pandemic. Nearly five years ago, I...
Read moreFounded in 2010, CCI is the web’s premier global independent news source for compliance, ethics, risk and information security.
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