But Will it Change Anything? The Supreme Court recently narrowed the Dodd-Frank whistleblower definition and excluded from protection employees who do not take their complaints to the SEC. It is impossible to know at this point what effect the case...
Read moreA Framework for Assessing Regulatory Maturity In the current regulatory environment, banks find it complex and challenging to interpret and assess regulatory requirements on conduct risk. In this this article, experts from Tata Consultancy Services suggest a robust approach for...
Read moreTRACE’s Alexandra Wrage interviews Bill Steinman of Steinman & Rodgers. Bill provides a primer on offsets and the compliance challenges they present.
Read more5 Steps to Prevent Loss Employee theft costs U.S. businesses an estimated $50 billion a year. For companies today, safeguarding against employee fraud should be a top priority. In this article we’ll explore a few ways that businesses can take...
Read moreSuitability Surveillance and Controls Despite how many risk and compliance eyes an investment bank has inspecting client activity, when it comes to managing risk, it's impossible to review each and every investment recommendation or transaction by a simple eyeballing of...
Read moreAdopting New Strategies to Increase Agility In order to capitalize on cloud velocity, organizations must adopt new approaches and tools developed for the cloud. Failing to do this will delay migration, weaken overall security posture and cost time and money,...
Read moreWhere Firms Should Concentrate Compliance Efforts In the past few months, both the SEC and FINRA issued guidance concerning their regulatory priorities for the coming year. Both of the agency’s annual priorities letters address a large number of diverse topics. Experts...
Read moreCollaboration Needed to Effectively Manage Data Security Cyber exposure at all levels of business operations, from financial transactions to customer service and customer apps, is increasing. At the same time, new regulations regarding the governance of data are posing higher...
Read moreBuilding a Culture of Excellence Star performers often have an innate, internal drive to exceed expectations. It's a tough thing to cultivate, but relatively easy to quash. Leaders should be careful not to stymie this quality in their teams. Linda...
Read moreQ&A with Brad Bussie, Principal Security Strategist at Trace3 Today we feature an interview with between Maurice Gilbert, CCI’s CEO, Founder and Publisher, and Brad Bussie, Principal Security Strategist at Trace3, a provider of IT solutions and consultation services. The company’s thriving security...
Read moreToday, Alexandra Wrage interviews investigative journalist Dorothee Myriam Kellou. Dorothee tells the story of the Lafarge plant in Syria that was ultimately taken over by ISIS.
Read moreEach year, the Financial Industry Regulatory Authority (FINRA) shares its regulatory and examination priorities for the coming year, highlighting both new and continuing areas of focus. In this post, experts from Venable LLP provide an overview of the most significant...
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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