Despite the presence of an active gifts and entertainment policy, an internationally well-known company was finding it difficult to apply and enforce its process consistently across the organization.
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Increasing Efficiencies Within Centralized and Decentralized Third Party Compliance Programs
Different compliance models have their own strengths and weaknesses regarding control, consistency and understanding of local nuance.
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Achieving Holistic AML
When it comes to customer risk, do your teams have the visibility they need to prevent an anti-money laundering (AML) violation?
Posted inRisk Management
Key Considerations When Selecting GRC Software
When choosing a software to manage risk and compliance, choosing the right software is critical. The wrong software can lead to serious issues that can have lasting damage your company and reputation.
Posted inFinancial Services
BlackRock’s Midyear 2018 Global Investment Outlook
BlackRock’s 2018 investment themes have been refreshed against a backdrop of steady global growth and strong corporate earnings, but rising macroeconomic uncertainty.
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What is Conduct Risk and How Can Technology Mitigate it?
Conduct risk poses an existential threat to companies across industries and jurisdictions because regulators, auditors and other oversight professionals are increasingly holding senior managers accountable for the actions of individuals associated with a firm.
Posted inThird Party Risk
Reducing third-party risks with eyes wide open
Recent analysis shows that many companies don’t have adequate visibility into their third parties, and even less so into their third parties’ third parties and beyond.
Posted inInternal Controls
Rethinking Communications: 5 Ways to Boost the Effectiveness of Compliance Communications
Do you worry that your compliance program has grown stale? Here are five things that you can start doing right away to inject fresh, new life into your company’s compliance communications.
Posted inRegulatory Enforcement
Regulatory Mapping Is Integral to Compliance Functions
New rules and regulations for conducting business are constantly being developed—sometimes daily, it seems—both domestically and globally. Organizations must keep up by implementing a robust regulatory mapping system to ward off fines and penalties and, at the same time, maintain brand equity.
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Management Reporting: Let’s Stop Reinventing the Wheel
Access to accurate data, and timely commentary and analytics is critical to making sound business decisions. And the pressure to provide that data and analysis to management is only becoming more intense.