Top Stories
Ethical culture strengthened by 2022 challenges, survey finds
LRN’s annual ethics and compliance benchmarking report found most respondents—85 percent—said their company’s ethical culture has been strengthened, not weakened, in facing the Covid-19 pandemic, Russia’s war in Ukraine, supply chain disruptions, and more.
SEC examiners flag deficiencies in Reg BI compliance
The Securities and Exchange Commission issued a risk alert listing deficiencies its examiners found in broker-dealers’ compliance with Regulation Best Interest.
Study: Healthcare overtakes finance as most breached industry in 2022
Healthcare organizations were under attack more than ever by cybercriminals in 2022, overtaking finance as the most breached industry, according to the latest analysis from Kroll.
CW Surveys
Survey: Data retention in 2023
The level of urgency around data privacy grows each year, with new laws being implemented across the globe and technologies offering enhanced means of data storage.
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Foster a Culture of Ethical Behavior
Strengthen your ability to monitor, create, and maintain a culture of trust where your team can thrive.
Data and Research
Survey: Measuring the impact of code of conduct training
Survey: How businesses are confronting governmental licenses in M&As
Survey: Firms early to prep for SEC’s climate-related disclosure rule
Closing the data risk gap: How technology enables data protection
Desire for transparency launches FedEx on ESG journey
CW case study offers 360-degree view of ransomware attack
CW presents: ‘Coming Clean: Volkswagen’s Dieselgate scandal and compliance monitorship’
Compliance Week presents: ‘A Tale of Two Storms’
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More from Compliance Week
In Touch Games fined $7.6M for AML failures by U.K. Gambling Commission
U.K. online gaming company In Touch Games was fined £6.1 million (U.S. $7.6 million) by the country’s Gambling Commission for a series of anti-money laundering failures—its third such penalty since 2019.
Reports: Morgan Stanley fines bankers up to $1M for off-channel communications
Morgan Stanley fined its employees up to $1 million for using unauthorized communication channels in violation of recordkeeping rules, according to multiple reports.
Q&A: Ex-DOJ official on policy changes, new CCO expectations
Scott Hulsey, partner at Barnes & Thornburg, former federal prosecutor, and a former chief compliance officer, discusses with Compliance Week how CCOs should respond to the Department of Justice’s recent policy changes regarding corporate crime.
Ex-GigaTrust CEO sentenced to five years for $50M fraud
The former chief executive officer of email security company GigaTrust was sentenced to five years in prison for fabrications that allowed him and two other executives to defraud investors and lenders of millions.
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