All Internal Controls articles – Page 3
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ResourceWhite paper: 5 Compliance Steps for Video Conference Recording in Financial Services
There are 6+ different electronic communications present in video conferencing. MiFID II and SEC 17a-4 have retention and supervision requirements that apply to the audio and electronic communication within video conferences, requiring organizations to develop a compliance plan to govern this growing medium of communication.
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Podcast
Vanessa Rossi on operationalized compliance done right
Vanessa Rossi, senior compliance counsel at Baker Hughes, explains to columnist Tom Fox the benefits of operationalized compliance and how to ensure it is properly in place.
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Article
KPMG fallout: Cheating allegations raise new questions
After new allegations at KPMG of cheating on internal training tests, audit committees now have another area of questioning for their external auditors.
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Article
Benchmark report provides holistic look at compliance best practices
A benchmark report published by NAVEX Global provides comprehensive research into the multiple disciplines of an ethics and compliance program.
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Article
Data, behavioral analysis must go hand in hand
There is a growing realization that data analysis, devoid of psychological and behavioral analysis, might not be as effective as hoped or intended.
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Article
Soft skills, strategy set to define CCO of future
Determining the future of compliance and its practitioners is a tall task, one that a panel of experts at CW’s 2019 annual conference analyzed with their respective insights.
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Article
Compliance pioneer defines the future path of profession
Compliance functions of the future need to better use data, measure outcomes, and deal with differing views on what constitutes good ethics, says expert Hui Chen.
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Article
Nissan to overhaul its governance structure
In a meeting this month, Nissan’s board of directors unanimously voted in favor of a transition from a company with statutory auditors to a company with three statutory committees.
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Article
A new CCO’s Herculean task at Wells Fargo
Compliance Week chats with Wells Fargo CCO Mike Roemer about the challenge of rebuilding trust at a company that’s been the poster child of compliance and risk management gone wrong.
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Article
Inside Wells Fargo’s plan to restore trust
Compliance Week looks at highlights from Wells Fargo’s plan to transform the future.
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Webcast
How to Effectively Achieve Sustainable Compliance
SOX has been in effect for more than 15 years, yet many companies still haven’t streamlined key elements of their compliance process. Spreadsheets and email remain the most common way to manage the data collection and affirmations that compliance requires. Software designed to manage compliance can provide strong controls that ...
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Resource
Inside Conflict of Interest: Interview with an Industry Leader
Osprey Compliance Software is proud to bring you this inside insight interview with Roy Snell. As the ex-CEO of major compliance organizations SCCE and HCCA, Roy is a well established expert in the compliance industry.
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Resource
Microlearning: The New Standard for Compliance Programs
Traditional compliance training methods are no longer effective at reaching today’s employees. As a compliance professional, you need new methods to ensure employees engage with and retain your compliance communications.
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Resource
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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Webcast
5 Seismic Shifts In Compliance Training
Compliance training is one of the most powerful tools a compliance team can use to empower employees to be their most ethical selves. With less than 1% violations resulting from actual malicious intent, this webinar will dig in to the critical shifts you can make to use this employee touchpoint ...
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Article
EU data supervisor warns online providers about Ts & Cs
The European Data Protection Supervisor is warning social media and tech companies that their consumer terms and conditions may soon come under increased scrutiny if they fail to comply with the agency’s rules.
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Podcast
Brian Beeghly on defining ethical leadership
Brian Beeghly, former chief compliance officer at Johnson Controls, explains to columnist Tom Fox the steps taken in designing a leadership model in the wake of an FCPA investigation.
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Resource
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.
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Webcast
Breaking down the barriers to effective internal control
When implementing and maintaining an effective internal control framework challenges can often come from multiple angles - Process, Culture and Technology. These are amplified when working outside of the highly regulated industries such as Finance and Healthcare. In order to successfully plan and implement a control framework that delivers increased ...
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Article
Executing a culture of integrity initiative
Building a culture of integrity is more than just putting on a compliance week fair; join this Conversation at the annual CW conference in May to learn how to implement a culture of integrity.
