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FINRA’s guidelines in a recent regulatory notice address a host of concerns around compliance while employees work from home. Smarsh’s Robert Cruz discusses what firms should be doing to address the latest FINRA guidance. FINRA, the government-authorized nonprofit organization that...

The cyber threat landscape continues to evolve. Cybersecurity remains an important boardroom and C-suite topic as the COVID-19 pandemic forces remote work and adoption of new technologies. Protiviti’s Jim DeLoach shares what’s new in cyberspace. The pandemic has shifted just...

Husch Blackwell’s Avi Meyerstein discusses the impact COVID-19 may have on OSHA investigations. Are we looking at increased enforcement? Deregulation? New regulation? Time will tell. All bets are off as regulatory agencies are tugged in every direction in this pandemic...

Compliance audits and financial audits are different animals calling for different skill sets. Level 2 Legal’s Leigh Vickery explains why your organization might not want to choose a Big Four firm. Compliance is a top concern in the business world...

Jim Nortz details the development and implementation of a highly successful Compliance Assistance and Monitoring Program (CAMP) used to evaluate internal controls – while enabling compliance to make friends along the way. A Monster That Had to Be Tamed Several...

How recently has your organization evaluated its guardrails to protect against conflicts of interest? Most companies need work in this area. Jeff Kaplan and Rebecca Walker cover how to conduct a conflict of interest assessment. Many compliance and ethics (C&E)...

There are a number of factors impacting employee satisfaction – among them the recession and organizations’ increased reliance on remote work. ERP Maestro’s Jody Paterson discusses how employee engagement and fraud are related. The frequency of insider incidents – namely...

Baker Donelson’s Ivan Boatner examines the increased threat of a cyberattack on COVID-19 health care providers, as well as the preventative measures the industry can take to mitigate the risk. The health care industry and research organizations searching for vaccines...

After issuing guidance in April that leaned against recording most COVID-19 cases, OSHA has now walked back that guidance somewhat. Husch Blackwell’s Avi Meyerstein discusses the new guidance on recording your employee’s case of COVID-19. As COVID-19 spread widely through...

Amid the coronavirus pandemic, current events are reminiscent of the financial challenges of 2008. Those challenges imparted some important lessons for employers. Elliot Dinkin considers what employers did in 2008 that worked well and how they can apply takeaways to...

Every organization’s risk profile has changed because of the current crisis. Companies that have not performed a risk assessment since the pandemic started are already behind the curve. True Office Learning CEO Neha Gupta offers recommendations for commanding control of...

COVID-19 has impacted virtually every aspect of our lives. Compliance pros may be wondering whether and how corporate compliance will ultimately be affected. Mark Delgado, Mitratech’s Managing Director of GRC, offers insights into how companies can meet compliance mandates as...