Guest columnist Alan Gibson explains how his role as assistant general counsel in Microsoft’s Office of Legal Compliance helped his transition into a world of managing risks through algorithms, machine learning, and digital solutions.
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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.
At a recent virtual conference, Michael Duran, chief ethics and compliance officer at 3M, shared in candid detail lessons learned from the company’s journey toward predictive analytics.
Accounting firm Prager Metis violated auditor independence rules through use of indemnification provisions in its engagement letters hundreds of times during a period of nearly three years, the Securities and Exchange Commission charged in a lawsuit.
The former CEO of NatWest’s decision to leak client details to the press regarding Nigel Farage is likely to cost the financial industry millions in new compliance checks as U.K. regulators prepare reviews into how banks treat people with extreme political views.
The impact of “see something, say something” was on display as part of Construction Specialties’ settlement with the Office of Foreign Assets Control for apparent Iran sanctions violations.
Author Mary Shirley establishes her ethics and compliance advice book as relatable for all practitioners, junior or senior level. The result is an enjoyable read that offers something for everyone from any E&C background.
