Compliance professionals often do not think broadly enough about what can and should fall under the umbrella of monitoring and review that will positively impact their ethics and compliance programs. Mary Shirley offers suggestions for program elements to review.
Posted inEurope
Consumer Duty: What are the next steps?
Matti Pekkola of investor services group IQ-EQ identifies key trends from the past year of working with regulated firms on U.K. Consumer Duty compliance.
Posted inEthics & Culture
The five pillars of visibility
Learn key advice on how to raise your professional profile, whether you are working as a compliance professional in a permanent role for one company or as an independent contractor.
Posted inRisk Management
The dark side of deep fakes
We are not the only ones benefiting from the convenience of new technologies like generative artificial intelligence. Scammers are, too.
Posted inEthics & Culture
The value of sales and compliance allyship
“Every compliance activity is a sales activity,” writes Al Raymond, privacy compliance officer at ZoomInfo, regarding his team’s approach to demonstrate to sales how a strong control environment can be a competitive advantage.
Posted inUncategorized
Modern-day enterprises: How to prepare for and prove network compliance
The need to prove network compliance is intensifying as lawmakers introduce new privacy legislation and organizations update their contractual security requirements for third-party vendors.
Posted inData Privacy
Modern-day enterprises: How to prepare for and prove network compliance
The need to prove network compliance is intensifying as lawmakers introduce new privacy legislation and organizations update their contractual security requirements for third-party vendors.
Posted inRegulatory Enforcement
Lessons learned from FCA case against CFP Management MLRO
The U.K. Financial Conduct Authority’s decision notice against the money laundering reporting officer of CFP Management sends a strong message to the financial industry, particularly those who work in senior management functions or hold oversight responsibilities.
Posted inEthics & Culture
Five ways to build a top ethics and compliance team
Luciane Mallmann, head of ethics and compliance for U.K. and Ireland at real estate services company JLL, shares how embedding ethics and compliance into culture, strategy, and operations can add value to a business and its people.
Posted inAccounting & Auditing
Appreciating ESG fraud risk management
The factors that surround the environmental, social, and governance disciplines have grown from just a few to more than 50 considerations, indicating all three ESG elements carry equal weight when evaluating a proper corporate strategy.
