All Internal Controls articles – Page 3
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ArticleCompliance lessons from recent nine-figure FCPA settlements
Walmart, TechnipFMC, Fresenius—just to name a few—have all fallen prey to the Foreign Corrupt Practices Act in a record year of jacked-up enforcement and sky-high penalties.
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Article
Ask Amii mailbag: Using compliance skill sets to influence operations
In this “Ask Amii” mailbag, executive coach and former Chief Compliance Officer Amii Barnard-Bahn discusses the pros and cons of outsourcing compliance, breaking tough news to business partners, and how to transfer compliance skills out of finance.
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Resource
White paper: Sustainability and the board: What do directors need to know?
With growing investor attention to sustainability, there is often greater emphasis on the governance element (the “G”) of ESG (environmental, social, and governance) and the board’s fiduciary duty to oversee a company’s strategy, risk, and capital allocation.
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Article
Labeling employee a ‘compliance risk’ not defamation, says court
A former Biomet Argentina employee—in a bit of FCPA hot water—landed on his company’s restricted persons list, sued for defamation, and lost.
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Article
ProPetro shuffles leadership team amid accounting probe
ProPetro Holding has announced a shuffling of its executive leadership team following the completion of a review conducted by its audit committee into a series of internal control failures.
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Article
Ask Amii mailbag: Keeping up with AI, global compliance norms
In this “Ask Amii” monthly mailbag, executive coach and former Chief Compliance Officer Amii Barnard-Bahn explores the future of compliance and best practices for establishing your program in a non-U.S. domain.
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Webcast
Webcast: Following the money to prevent human trafficking
This webcast will help compliance executives explore the latest research and practical insights on how to manage human trafficking and manage third-party risks.
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Resource
White paper: Internal Controls Over Financial Reporting Considerations for Developing and Implementing Bots
Companies are rapidly digitalizing parts of their business through robotic process automation (RPA). RPA uses computer-coded, rules-based software robots (i.e., bots) to automate certain human tasks.
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Article
Counterpoint: CCO, GC independence is critical
Matt Stankiewicz of The Volkov Law Group discusses the importance of having compliance and legal remain separate functions.
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Article
Point: Why CCOs should report to GC
Attorney Jeff Kaplan offers five cons to keeping the chief ethics and compliance officer role separate from general counsel.
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Article
‘Inside the Mind’ is our data-driven ode to CCOs
We’re celebrating “Compliance Officer Day” by releasing our first annual “Inside the Mind of the CCO” special report, which is aimed at, among other things, figuring out what motivates and challenges today’s chief compliance officers.
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Article
CCO compensation data reveals big strides for women
Bucking the trend: Survey shows women more likely to hold top compliance roles, have a law degree, and make a bit more money than men.
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Article
Hiring manager: CCOs are in demand, seeing salary bumps
A managing director at an executive search firm that specializes in compliance hires has some advice—and a bit of good news—if you’re looking for a job as a CCO.
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Webcast
Webcast: How to avoid training fatigue
Training fatigue is real and has damaging consequences. In this webinar, learn the cognitive science behind fatigue and how to avoid it.
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Resource
White paper: Transform your Compliance and Ethics Training with Integrity
Your annual compliance and ethics training is the flagship communication to your global workforce; the effectiveness of your training has far reaching, significant impacts for your organization.
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Resource
White paper: 2019 CCO Playbook
Understanding the regulatory environment, both past and current, can help shape your compliance strategies. ComplySci’s CCO Playbook will ensure you keep up with regulatory changes and provide you with a game plan to meet many of the top challenges CCOs face today.
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Resource
White paper: Essential transcription dos and don’ts for your audio recording review program
Transcription is merely a starting point for call recording review and even the voice portion video recording review.. That said, voice-to-text technologies and even search tools built for transcripts still haven’t met both of the distinct last-mile-needs around using transcripts for compliance.
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Webcast
Webcast: Beneficial ownership establishment & monitoring
With most countries moving to due diligence requirements similar to the Financial Crimes Enforcement Network (FinCEN) Customer Due Diligence (CDD) rule or a beneficial ownership reporting regime or sometimes both, it’s challenging to know how to address the compliance burden. Understanding who you are doing business with and who controls ...
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Webcast
Webcast: Why T&E audit is more than policy compliance
Organizations are failing to solve the employee-spend challenge as travel and expense (T E) transactions continue to suffer from non-compliance and fraud. Companies also have unnecessarily high audit costs and inadequate risk coverage thanks to manual testing of T E transactions.
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Article
Cathay Pacific execs quit due to Hong Kong protests
Amid pressure from Chinese authorities after initially not penalizing employees for taking part in the Hong Kong pro-democracy protests, two top Cathay Pacific executives have tendered their resignations.
