All Internal Controls articles – Page 17
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Webcast
CPE Webcast: Building for SOC 2 compliance
For many companies, SOC 2 Compliance can be an unexpected requirement to work with a big new client. This complex, time-consuming compliance effort is often much more costly than business leaders expect, and can easily lead to more hiring, delayed product launches, and slow business growth.
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Webcast
CPE Webcast: Compliance considerations to prepare for returning to the office
With the pandemic lingering and the coronavirus vaccine shipping in the United States, we are hopefully beginning to turn the corner on the pandemic.
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Article
Cyber-Risk Summit: 7 best practices for protecting employee health data
Experts at CW’s virtual Cyber-Risk and Data Privacy Summit explain the importance for companies to review and enhance their current data security compliance policies and procedures.
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Article
Psychology of compliance: Counteracting bias in technology
Counteracting bias is part of the compliance officer job description, and now more than ever is it important for that duty to extend to new business technologies being implemented.
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Article
Surveys: Rushing technology decisions comes with big compliance risks
Embracing technology to help manage risk and improve efficiencies is a trend that’s been developing in the compliance space for a while, but the pandemic has fast-tracked the urgency behind it, according to a couple of recent surveys.
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Article
The roles of HR and compliance in driving diversity & inclusion
If HR drives diversity and inclusion strategies, the compliance function should play an important part in overseeing related changes in organizational behavior and practices.
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Article
‘Excellence in Compliance Awards’ nomination deadline closed
The nomination deadline has closed for Compliance Week’s second annual “Excellence in Compliance Awards,” which for 2021 includes a new category to honor companies whose ethics and compliance programs are head and shoulders above the rest.
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Article
Q&A: New Hitachi CCO on elevating compliance at global level
David Karas was named the first-ever chief compliance officer for Hitachi in October. He caught up with Compliance Week to discuss the impetus to elevate compliance at the multinational conglomerate and what he hopes to accomplish in his new position.
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Article
Learning from SolarWinds: Five steps to fortify your cloud supply chain
For most companies, supply chain risk management traditionally focuses on managing physical third-party risks. But what the SolarWinds cyber-attack revealed is the catastrophic havoc fourth and fifth parties can also wreak in the often-ignored cloud supply chain.
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Article
Assessing 2020: Lessons learned for the financial crime landscape
This year has been one most of us would like to forget. As we look toward 2021, nevertheless, it is worth considering lessons learned over the last 12 months and (where possible) drawing on any positives that have come to light regarding the financial crime landscape.
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Article
Compliance called out in Walmart opioid lawsuit
The Department of Justice alleged many failures by Walmart’s compliance program in its 160-page lawsuit accusing the retailer of playing an active role in fueling the opioid epidemic.
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Article
CCO allegedly ignored in Ripple cryptocurrency lawsuit
The chief compliance officer at Ripple Labs allegedly warned company leaders on multiple occasions that its marketing of its cryptocurrency offering, XRP, could lead the SEC to classify it as a security—the focal point of a lawsuit filed Tuesday.
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Article
How compliance officers can apply COSO’s ERM Framework in practice
Representatives from the Committee of Sponsoring Organizations of the Treadway Commission and its partners explain how to implement the organization’s latest guidance on identifying, monitoring, and mitigating compliance risks.
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Article
Charles Schwab U.K. fined $12M for failing to protect client assets
The U.K. Financial Conduct Authority fined Charles Schwab U.K. approximately £9 million (U.S. $12 million) for compliance failures related to the protection of client assets.
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Article
Barclays fined $34.8M over treatment of cash-strapped customers
The U.K. Financial Conduct Authority fined Barclays Bank and its related units £26 million (U.S. $34.8 million) for poor treatment of consumer credit customers experiencing financial hardship.
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Resource
Survey Report: A blueprint for COVID-19: Getting back to the office
A recent survey from Compliance Week and Skillsoft of 180 compliance, risk, and audit professionals asked the question: “What’s your back-to-office plan, and does it work for you?”
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Article
Survey: Remote compliance practitioners feel supported, but for how long?
A recent survey of 180 compliance, risk, and audit professionals asked the question: “What’s your back-to-office plan, and does it work for you?” The short answer was there is no plan, and the status quo is faring better for the company than the employee.
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Article
Regulators catching up on use of analytics; compliance better take notice
If your company isn’t making optimal use of data to enhance its compliance program, now is the time to start—before it’s too late.
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Premium
Ask a CCO: How to meet data analytics expectations of both board and regulators
Six senior compliance practitioners share some big-picture thoughts on how their companies are using data within the context of regulators’ increased expectations in the area.
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Article
Five challenges for European CCOs heading into 2021
Many of the problems European compliance officers faced in 2020 will remain in place going into the new year, but new risks and new regulations will also present new challenges.