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What happens when employees add a few out-of-policy expenses? If reports are reviewed manually, these items might slip right on through, but an AI solution can help flag them. Anant Kale and Josephine McCann of AppZen highlight some of the...

The environment for regulatory disclosure management has become increasingly complex in the financial services industry. Messagepoint’s Patrick Kehoe discusses the compliance issues institutions of all sizes face, along with best practices for meeting those challenges. Each time a financial services...

#MeToo and evolving anti-harassment legislation are driving demand for new approaches to sexual harassment training. Traliant’s Andrew Rawson discusses three questions to ask when reviewing your training program. In 2020, organizations across industries can expect the spotlight to remain on...

2020 promises to be a year of significant opportunity and change for organizations, as well as for the governance, risk and compliance (GRC) functions that support them. MetricStream’s Gaurav Kapoor discusses trends and changes to expect this year. New innovations...

Michael Toebe writes about how one executive seeks out different viewpoints to get the best out of his employees, reducing all manner of organizational risks and improving decision-making significantly along the way. When confidence becomes excessive ego, it creates a...

One can’t overstate the importance of planning to prepare for a possible crisis. It’s true for preventing fires, and it’s true for preventing compliance issues. Calvin London draws parallels between Australia’s devastating wildfires and ethical issues that can bring a...

In a strong economy, M&A activity ramps up. Linda Henman discusses what a huge swath of businesses should consider if selling is in their near future. The family-owned business has been a longstanding institution for centuries, but as baby boomer...

Jay Rosen explores proactive monitoring, which demonstrates the benefits of using a third party to fulfill the compliance mandates laid out by the DOJ. I have been looking back at some Department of Justice (DOJ) announcements over the past several...

Leaders of organizations of virtually every size, industry and geographic location are reminded all too frequently that they operate in an increasingly risky world. Protiviti’s Jim DeLoach provides an update from the ERM Initiative of the various risks organizations face...

What’s next for corporate compliance officers as they navigate balancing regulatory changes, technological advancement, digital fraud and higher customer experience expectations? OneSpan’s Michael Magrath shares his top corporate compliance predictions for the financial services industry in 2020. The regulatory landscape...

Brevity is the soul of wit (hence that 280-character limit), and one needs little more than a Twitter account and a sharp-tongued wit to call our culture’s kings and princes to task. Sandy Erez considers the weight of the highly...

Jay Rosen continues to review the DOJ announcements over the past year and the FCPA Corporate Enforcement Policy, announced in November 2017, to consider the strategies companies can use based upon these documents. Over the series I have explored what...