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Under the Regulatory Microscope Faced with increased regulatory demands and scrutiny in the midst of heightened regulatory enforcement, Nordic banks need to take a hard look at their AML/KYC systems and embrace a digital transformation approach to compliance. Fenergo’s Laura...

Trump and the FCPA Instances of global corruption pepper our newspapers and news feeds. Closer to home, allegations of corruption have taken center stage in the American political landscape, and President Trump has been openly critical of the Foreign Corrupt...

Lessons Learned from the Trenches The #MeToo and #TimesUpNow social media campaigns sparked a movement to expose intimidating behavior and sexual assault in the workplace. Because of the resulting paradigm shift, harassed employees are empowered to speak up about wrongdoings....

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...

A 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...

5 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...

Suitability 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...

Adopting 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,...

Where 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...

Collaboration 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...

Building 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...

Q&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...