Over the past ten years, US regulators have increasingly prioritized the importance of strict AML law enforcement to effectively deter money laundering and terrorist financing activity, with over $24bn in AML, KYC and sanctions penalties levied.
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Posted inThird Party Risk
Globanet Designated Third Party (D3P) Guidelines
In the last five years, FINRA, the primary self-regulatory organization for broker-dealers, has focused on prioritizing designated third-party compliance.
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10 Tips to Managing Social Media Compliance
The financial services industry faces many regulations on how to engage on social media, including communication and retention rules from FINRA, SEC, FCA, IIROC, and others.
Posted inInternal Controls
Companies Look to Combat Corporate Misconduct
As corporate misconduct, such as sexual harassment and discrimination, continue to make headlines, companies are becoming increasingly focused on detecting “bad behaviors” so they can be appropriately managed.
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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.
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The Right Moves: The Evolution of Approach in Risk Management
The concept of risk management—what it is and consists of—is something that is often misunderstood or misinterpreted.
Posted inInternal Controls
The Four Pillars of a Comprehensive Harassment Prevention and Compliance Strategy
3 out of 4 non-manager employees who experienced harassment did not report it, according to a 2018 Society for Human Resource Management (SHRM) survey.
Posted inAnti-Bribery
A pilot project: Addressing the global outcry against corrupt business practices
As the outcry on bribery and corruption continues to tighten its grip around rogue players in the private and public business sectors, organizations ramp up their efforts to develop effective frameworks to prevent, detect and report corruption.
Posted inResource
The OCEG GRC Illustrated Series: Connected Management of Operational Risk Prevents Disruption
Are you facing constant disruptions to your business operations? Many things can disrupt the business and the measure of this disruption is called operational risk.
Posted inResource
The OCEG GRC Illustrated Series: Finding Ultimate Beneficial Owners
Are you struggling with the challenge of identifying the real owners behind your customers or parties you do business with?