In the last five years, FINRA, the primary self-regulatory organization for broker-dealers, has focused on prioritizing designated third-party compliance.
Third Party Risk
Posted inAnti-Bribery
Poll shows room for improvement on training third parties
Results from the Compliance Week and Refinitiv survey revealed some surprising facts about companies’ third-party training; based on those results, the following article offers suggestions for how to enhance the process.
Posted inAnti-Bribery
Identifying high-risk third parties a nuanced exercise
Determining which business partners to flag for enhanced due diligence all depends on the quality, and sources, of your data.
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Third Party Risk: Driving Cross-Functional Alignment Across the Vendor Lifecycle
Outsourcing is nothing new, but recently we’ve seen companies increasingly rely on a network of third-party vendors to help them compete.
Posted inThird Party Risk
South America cleans up its act
A look at key investigations and enforcement actions in South America and Mexico in the past four years signifies a changing legal landscape that offers compliance lessons in advancing third-party anti-corruption compliance.
Posted inAccounting & Auditing
Top Minds in Compliance podcast: Marianne Ibrahim
Marianne Ibrahim, director of global compliance at Baker Hughes, offers several best practices for the auditing of third parties.
Posted inRisk Management
Prevalent acquires 3GRC
Third-party risk management platform Prevalent announced its acquisition of U.K.-based risk and compliance firm 3GRC.
Posted inRegulatory Enforcement
Lumber Liquidators to pay $33M for securities fraud
Lumber Liquidators Holdings, a discount retailer of hardwood flooring, will pay a total of $33 million in criminal and regulatory penalties for misleading investors concerning the sale of its laminate flooring from China to its customers in the United States.
Posted inAccounting & Auditing
Internal audit still vexed by data, third-party risks
Internal audit is making strides in steering its focus and resources toward companies’ emerging risks—but there’s still some work to be done, the IIA says.
