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Each 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...

Q&A with Gerry Zack, Incoming CEO of SCCE Today we are pleased to share an interview between CCI’s Founder, CEO and Publisher, Maurice Gilbert and incoming CEO of the Society of Corporate Compliance and Ethics (SCCE). Gerry Zack is a compliance...

The Role of BYOID in Meeting Requirements With the deadline fast approaching to have solutions in place that comply with GDPR regulations, it’s predicted that 80 percent of companies won’t be ready. Blockchain technology offers a new, innovative and purpose-built...

Chuck Duross, partner with Morrison Foerster and former head of the DOJ’s FCPA unit, discusses lures, stings, wiretaps and INTERPOL Red Notices.  

Enhancements Needed to Address Deficiencies April is fast approaching, and with it comes the deadline for certification with the New York State Department of Financial Services (NYDFS) Part 504 rule. The requirements pose considerable challenges for financial institutions, and any...

The Danger – and Simplicity – of Cognitive Attacks The allegations of Russian influence on the 2016 election have been in the news for months. President Trump has claimed that Russian meddling was a hoax, but according to the Mueller...

The Value of Big Data A crucial shift is underway in the financial services industry when it comes to regulatory compliance; cultures are changing, and new value is being created for banks and their customers because of AI technology. Grace...

Powering the Process through Automation For financial institutions, the cost of noncompliance with AML policies and procedures is ever increasing. Per industry reports, AML fines have gone up to nearly $4 billion since 2014, and they continue to rise. Among...

7 Secrets for Developing Evergreen Customers Customer acquisition is far and away more costly than customer retention, yet many companies place greater focus on developing business with new customers. Linda Henman explains how constancy is key in cultivating loyalty among...

Norm Eisen, former White House Ethics Czar and then Ambassador to Prague and current Chariman of CREW, talks about his work at the White House and the importance of setting the right tone. Norm also previews his new book: “The...

How Much Due Diligence is Enough? It’s easy to get in over one’s head when conducting third-party due diligence. How deep is it necessary to dive to ensure your vendors and suppliers are doing business above board? Michael Volkov provides...

Why "Minimal Viable Compliance" Can’t Be the Goal Major regulatory deadlines often lead firms to settle for minimum viable compliance – taking whatever action is needed to avoid regulatory scrutiny, regardless of the cost. But this approach inevitably leads to...