The Board’s Role in AML Compliance
Ola Tucker, founder of Compliance Notes, discusses the board of director’s oversight role with respect to a financial institution’s BSA/AML ...
Tag: board risk oversight
What is the Board’s Role in Effective Risk Management?
The Shared Assessments Program, the member-driven leader in third-party risk assurance, recently released a new set of findings and recommendations developed ...
Cybersecurity Responsibility Expands to Corporate Boards
The SEC has squarely placed the onus on corporate board members to take on greater cybersecurity oversight of the companies ...
GRC Trends in 2019: Nimble, Anticipatory and Secure
MetricStream’s Gaurav Kapoor shares insights and trends he’s gleaned from connecting with leading CXOs this summer. Here are some of ...
Sustainability Performance: A Differentiation Opportunity?
How critical is sustainability performance, and how is ESG reporting likely to evolve in the coming decade? Protiviti’s Jim DeLoach ...
10 Ways to Improve Your Risk Assessment Process
Guidance for Executive Management and the Board Protiviti’s Jim DeLoach discusses strategies to enhance the risk assessment process, from ensuring ...
How Boards Should Tackle Sexual Harassment in the #MeToo Era
7 Steps to Minimize Risk Today’s boards are increasingly aware of the significance and scrutiny given to their oversight obligations ...
Managing the Effects of Short-Termism on Risk Management
6 Recommendations to Maintain Effective Risk Oversight As the financial crisis thoroughly demonstrated, an acute focus on short-term gains can ...
Leveraging Search Experts and Technology for Targeted Risk Oversight
What Boards Should Know As corporate scandals hit the headlines, boards of directors must often answer questions about their own ...
Communicating Critical Enterprise Risks to the Board
8 Principles to Guide the Risk Assessment Process Organizations don’t need to involve the board in every risk by any ...
Board Evaluations: 5 Ways They’re Missing the Mark
The past few years have seen the largest security breaches in history. As risk and compliance professionals scramble to predict ...
5 Ways to Elevate the Board’s Oversight of Compliance
Expanding the View to Include Culture Does your organization view compliance as a “check the box” exercise? Many companies do. ...
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- John Special, Defendant, and Michael Murphy, Relief Defendant, John Kenneth Davidson December 12, 2019SEC Obtains $3 Million Settlement in Insider Trading Action
- Palm Beach Atlantic Financial Group, LLC and William A. Smith December 11, 2019SEC Charges Florida Resident and His Corporate Entity for Fraudulent Securities Offerings
- Nanotech Engineering, Inc., Michael James Sweaney (also known as Michael Hatton), David Sweaney, and Jeffery Gange December 11, 2019SEC Obtains Asset Freeze to Halt Alleged Offering Fraud
