Articles | Compliance Week – Page 246

Article

Going back to basics with whistleblowers

2017-12-11T10:30:00Z

On a fundamental level, people want to know that they are being taken seriously, which is why it is so important that whistleblower policies work in practice, and not just on paper.

Article

Know Your Customer vs. Know Your Intermediary

2017-12-11T10:15:00Z

While most companies are familiar with KYC programs, they might not have knowledge of “Know Your Intermediary.” Inside are five steps for getting to know your intermediaries.

Article

Rescue compliance: When corporations save the animals

2017-12-11T09:15:00Z

Corporations across the U.S. were on hand during this past hurricane season to help those animals impacted by the storms. More inside on where help was given and where help is still needed.

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MiFID II, CAT, and the new reality of time

2017-12-04T13:45:00Z

The Markets in Financial Instruments Directive and the Consolidated Audit Trail will be vital tools for regulating a financial sector increasingly moving at speeds too fast to follow.

Article

Companies advised to stay alert to non-GAAP issues

2017-12-04T13:45:00Z

The regulatory furor over non-GAAP reporting may be diminishing, but the need for continued corporate vigilance on proper use of non-GAAP measures is not.

Article

5 proof points of a culture of compliance

2017-12-04T13:45:00Z

Everybody likes to think they have a culture of compliance, but how do you really know if it’s true or not? Here are five ways to see if perception and reality are in sync.

Article

SFO vs. Unaoil highlights vital compliance issues

2017-12-04T13:30:00Z

How the U.K.’s key anti-bribery and corruption agency conducts its ongoing Unaoil investigation may provide compliance officers with helpful insight should they ever find themselves dealing with it in the future.

Article

Choosing an executive education program

2017-12-04T09:00:00Z

As compliance officers increasingly turn to executive training to hone skills, learn topics in-depth, and network, what should they be looking for in a program before committing to one?

Article

Unwrapping the new FCPA Corporate Enforcement Policy

2017-12-04T08:45:00Z

The Justice Department just announced its new FCPA Corporate Enforcement Policy. How different is it from the FCPA Pilot Program? And how will it change self-reporting misconduct?

Article

More companies exiting third-party vendor relationships

2017-11-28T15:45:00Z

An increasing number of companies expect to exit or change relationships with their third-party vendors due to heightened risk levels, finds a newly released vendor risk management benchmark report.

Article

Facilitation payments now illegal in Canada

2017-11-28T15:30:00Z

Now that facilitation payments under Canada’s anti-corruption law are officially illegal, any company doing business within Canadian jurisdiction needs to adjust its compliance policies and procedures accordingly.

Article

Top companies slammed for “complacency” over slavery reporting

2017-11-28T13:15:00Z

Some of the world’s top brands including confectioners, jewellers, and cosmetics giants are failing to disclose slavery and trafficking risks that might be present in their operations and supply chains, according to a report by a U.K.-based human rights campaign group.

Article

Compliance & ethics in litigation finance

2017-11-28T12:15:00Z

Crowdsourcing legal costs is one of the world’s more novel alternative asset classes, but the clock is ticking on when compliance officers will need to enforce some rules on it.

Article

Encrypted messaging you can’t afford to ignore

2017-11-28T12:15:00Z

The rise of messaging apps such as WhatsApp and WeChat mean that compliance departments will have to square encrypted messaging with current healthcare and finance regulations.

Article

5 questions to ask about cloud security implications

2017-11-28T12:00:00Z

As firms increasingly turn to cloud computing and data storage, compliance officers need to understand the particular risks that come with using this kind of technology.

Article

Audit technology pushes companies to get data in order

2017-11-28T11:30:00Z

To stay in step with audit technology, companies need to start thinking hard about their own technological capabilities to stand up to the audit process.

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2018’s internal audit agenda: culture, technology, and change

2017-11-21T16:45:00Z

Internal audit plans for the coming year will reflect more consideration of corporate culture and the risks it might pose to the company’s success.

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Merging GDPR compliance and cyber-risk management

2017-11-21T12:15:00Z

Many organizations today are elevating cyber-risk to the top of the corporate agenda in response to the impending EU General Data Protection Regulation, a new report reveals.

Article

5 steps to ensure GDPR contract compliance

2017-11-21T12:00:00Z

The General Data Protection Regulation takes effect in just a few short months. For those struggling with the huge burden GDPR entails, here are some tips for contract compliance.

Article

ESMA takes aim at U.S. banks with new MiFID II directive

2017-11-21T11:45:00Z

The expansion of the scope under MiFID II will make it far likelier for market participants to be caught within EU regulators’ crosshairs without even realizing it. Some tips for avoiding that fate are inside.