A well-designed business risk assessment program is the key to a successful anti-money laundering program. For companies with ineffective AML pro­grams, avoid­ing the rigorous self-analysis necessary to strengthen AML capabilities is no laughing matter. It can be extremely expensive, as com­panies shelling out tens of millions of dol­lars to regulatory agencies as punishment for allowing […]

Financial institutes are required to maintain and produce a variety of records related to their business activities, many of which exist in an electronic format.  In order to satisfy the increasing number of regulatory mandates around electronic data, organizations should assess their regulatory obligations and streamline efforts to capture, maintain, identify, and produce these records […]

Many policies are written and then left to slowly rot over time. What was a good policy five years ago may not be the right policy today. Those out-of-date but still existent policies can expose the organization to risk if they are not enforced and complied with in the organization. Effective policy management requires that […]

Today’s CIOs and IT directors are facing new challenges in managing electronic content archives. In addition to the demand to meet evolving legal and regulatory requirements, organizations are creating a sea of structured and unstructured content in more formats and sent over more channels than ever before. The adoption of social media, Web marketing, and […]

Whether in terms of maximizing opportunities or reducing unwanted risk, research shows that a company’s system of governance, culture, and leadership—its “Human Operating System”—makes a significant difference in everything from overall financial performance to innovation, loyalty, customer satisfaction, reputation, and levels of misconduct.Ethics and compliance programs can help build a company’s Human Operating System, significantly […]

This e-Book on e-Discovery is produced by Compliance Week in cooperation with Autonomy. The e-Book offers various articles from Compliance Week on the challenges surrounding FCPA investigations, merger & acquisition litigation, and the expansion and proliferation of mobile computing. In addition, Autonomy offers the white paper, “Best Practices for Meeting Critical e-Discovery Challenges.”Articles include: The […]

SEC Chairman Mary Schapiro has indicated that she does not feel pressure to rush into a decision about IFRS—she only feels pressure to “do the right thing for U.S. markets and U.S. investors.”[1] As the nation faces multiple economic and political hurdles, the decision to adopt IFRS (and the date for which this would be […]