Risk
The stakes are getting higher for CROs and compliance officers. Brenda Boultwood of MetricStream details why it’s increasingly imperative that risk and compliance professionals work hand in hand to address ongoing risks and strengthen organizational GRC efforts. While risk and...
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Evan Francen, CEO of FRSecure and Security Studio, makes the case for adopting a third-party information security risk management (TPISRM) program. He outlines how to get started and explains why the common excuses for ignoring the risks don’t hold water....
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ERP Maestro's CEO Jody Paterson discusses cybersecurity risk disclosure and compliance and how executives are being held more personally accountable for nondisclosure as outlined by the SEC. Companies face a multitude of risks and threats. Reporting them to stakeholders and...
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The latest global survey of C-level executives and directors of the macroeconomic, strategic and operational risks that organizations face indicates an increasingly risky year ahead. Protiviti’s Jim DeLoach discusses the risks keeping executives up at night. Overall, 825 C-level executives...
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In this day and age, compliance risks can come from anywhere. Sean Freidlin of Hanzo discusses some of the chief ways innovative marketing campaigns can expose the organization to risk, provides three examples of current risky strategies and offers lessons...
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From Google's GDPR violation to data breaches happening just hours after the new year, 2019 is off to a crazy start, especially for risk managers. In anticipation of the months ahead, LogicGate CEO Matt Kunkel predicts what GRC professionals should...
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Lockpath’s Colby Smith discusses the reasons an integrated approach to risk management is an imperative – chief among them digital processes, global business and a reliance on third parties. Digital transformation, globalization and outsourcing have given rise to unprecedented productivity,...
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Actionable advice and a reader-friendly format make this an essential handbook for today’s operational risk manager. Want a refresher on current best practices for operational risk management in the financial services industry – but also need a crash course on...
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In the year ahead, companies will need to find meaningful and measurable ways to align and integrate risk management with core business objectives to pursue and meet their company’s goals. LockPath’s Sam Abadir discusses three trends that will challenge organizations'...
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The Bank Secrecy Act and Enhanced Compliance Programs Increased regulatory scrutiny, historically high fines and now-legalized sports betting are leading casinos to focus on improving their Bank Secrecy Act/anti-money laundering (AML) compliance programs. Deloitte’s Matt Lappas and Jeb Breese discuss...
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Key Controls on Web Use to Avoid Regulatory Scrutiny For regulated investment firms, the SEC has prioritized cybersecurity, governance and data loss prevention. While firms cover the gamut in their compliance manuals and policies, their practice reveals alarming gaps when...
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Guidance for Executive Management and the Board Protiviti’s Jim DeLoach discusses strategies to enhance the risk assessment process, from ensuring the proper stakeholders are involved to accounting for disruptive change and moving beyond “enterprise list management.” An effective risk assessment...
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- Worldwide Markets, Ltd., TAB Networks, Inc., and Thomas F. Plaut June 25, 2019SEC Charges Unregistered Security-Based Swaps Broker with Defrauding Retail Customers
- Richard Vu Nguyen, et al. June 25, 2019SEC Halts Fraud Targeting Vietnamese-American Community
- Avi Chiat June 24, 2019SEC Obtains Final Judgment Against Defendant in Hedge Fund Fraud Scheme
