Proactive Monitoring: A Sound Approach to Compliance
Jay Rosen explores proactive monitoring, which demonstrates the benefits of using a third party to fulfill the compliance mandates laid ...
Tag: monitoring
Compliance monitoring is the quality assurance testing carried out over the day to day activities of the business. The compliance monitoring team usually sits as an independent function in the second line of defense and provides assurance to the board that the firm is operating within a compliant framework.
New Guidance As Both a Sword and a Shield
Jay Rosen continues to review the DOJ announcements over the past year and the FCPA Corporate Enforcement Policy, announced in ...
Internal Uses for the Benczkowski Memo
In this week’s installment on the ramifications of the Benczkowski Memo and recent DOJ policy changes, Jay Rosen considers how ...
Recent Changes from the DOJ and What They Mean for the Compliance Practitioner
As we move ahead in the ethics and compliance world in 2020, Jay Rosen looks back at some of the ...
Final Reflections on 15 Years
Jay Rosen concludes the series with this retrospective from Vin DiCianni on where AMI has been, where it may be ...
The Combination of Independent Monitors and C&E Programs
Jay Rosen discusses the combination of compliance and ethics programs with independent monitoring, as well as two DOJ memos that ...
The Expansion of Independent Monitors
Jay Rosen shares how the use of independent monitors has greatly expanded over the past 15 years. The increase has ...
The Early Days: The Birth of the Independent Monitoring Concept
Jay Rosen explores the early days of Affiliated Monitors, Inc.’s independent monitoring model, inspired by NYC’s “IPSIG” concept, but with ...
DiCianni’s Idea: How It All Got Started
Fifteen years ago, the concept of independent monitoring was just getting off the ground. Jay Rosen discusses the importance of ...
Oversight of Merged Companies
Jay Rosen considers what a monitor would review to determine if a company adequately considered ethics and compliance during the ...
What’s the Plan? – Planning a Post-Acquisition Merger Strategy
How should you plan your post-acquisition merger strategy? Jay Rosen continues his series on monitoring in an M&A context with ...
The Whys, Whats and Hows of an Independent Assessment of a Target
Jay Rosen discusses how to assess ethics and compliance in the context of a merger or acquisition, what to look ...
Updated Daily
