Resource Library
The market for risk technology is driven by increased regulatory mandates and complex organizational risks. Risk technology is a global market that has rapidly evolved over the last 20 years, from single solution providers into platforms with cloud features and...
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In this free e-book, Tom Fox discusses the Department of Justice's 2019 Guidance on the evaluation of compliance programs, how it differs from the guidance issued in 2017 and how the updates can be used by the compliance professional whose...
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More than half of all shareholder proxy proposal exclusions allowed by the SEC are based on Rules 14a-8(i)(7) and 14a-8(i)(10), according to research and analysis in our new whitepaper. In this whitepaper, Intelligize’s Rob Peters and Alyson Clabaugh leverage public company...
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SolveXia, a process automation software provider, recently created a CFO Thought Leadership Survey, polling 100 CFOs from global companies like eBay, Siemens, LexisNexis, Sandoz and many others. This free report details the findings on objectives in 2019 and challenges ahead,...
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New data from 1,516 technology asset decision-makers, from organizations employing 1,000 people or more, finds that almost all of them (96 percent) said that hardware and software asset control is a top five priority in their business. However, even though...
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Tom Fox discusses the recent FCPA enforcement action against and SEC settlement with Telefônica Brasil and offers lessons for the compliance professional with respect to gifts, travel and entertainment associated with high-dollar sporting events such as the World Cup, Olympics,...
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First published by CCI in 2014, Jeff Kaplan's Compliance & Ethics Risk Assessment: Concepts, Methods and New Directions covers an array of risk assessment ideas, methods, practices, tools and noteworthy items of C&E-related history. It's more than a compilation of...
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Tom Fox discusses compliance resilience, compliance as tragedy, creating a game plan, terminating a third party and risk-ranking logistics companies with reference to Shakespeare's often lesser-known "problem plays," those that aren't classified squarely as comedies or tragedies. Download your free...
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This year's Risk in Review report from PwC examines how companies can ensure they have digitally fit risk management, internal audit and compliance functions. The 2019 report considers behaviors identified as best practices for companies pursuing major digital initiatives or...
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Protiviti has released findings from a new global survey of Chief Audit Executives (CAEs) and internal audit leaders. The survey found that 76 percent of internal audit groups are undertaking some form of innovation or digital transformation efforts, yet only...
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In a stunning resolution to one of the longest-running bribery, corruption and money-laundering sagas on the international stage, the DOJ and SEC both recently announced settlement of an FCPA enforcement action against the Russian telecom company, Mobile TeleSystems PJSC (MTS)....
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The Ethics & Compliance Initiative (ECI) produced four Global Business Ethics Survey (GBES) reports in 2018. In this white paper, leading FCPA expert Tom Fox interviews ECI's CEO, Patricia Harned, discussing the findings of the reports, along with key issues...
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- Ying July 18, 2019SEC Obtains Final Judgment Against Former Equifax Executive Charged with Insider Trading
- Mark Loman July 18, 2019SEC Charges Former Company Controller with Insider Trading
- Paul Alar and West Mountain, LLC July 18, 2019SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing Assets
