By Joe Mont2015-03-24T10:45:00
Amid a tough climate of regulatory enforcement and an explosion of new rules after the financial crisis, many large companies—especially financial institutions—have beefed up their staffing on risk and compliance. But is more always better? While the investment sends a message, more boots on the ground may just step on ...
2015-06-02T13:00:00Z By Joe Mont
More than ever before, managing compliance risk now requires a framework that unifies decentralized compliance activities. The goal: to streamline monitoring, testing, and reporting. That may sound difficult in theory—and, well, it’s difficult in practice too. Inside we have tales from Coca-Cola and Kimberly-Clark on how they try to integrate ...
2015-04-07T11:30:00Z By Jaclyn Jaeger
Image: As part of our occasional series of conversations with compliance executives, we caught up with Lee Augsburger, chief ethics and compliance officer at Prudential Financial and vice chairman of the newly established Global Insurance Chief Compliance Officers Forum. Inside, Augsburger talks about the objectives of the group and how ...
2025-10-16T17:53:00Z By Adrianne Appel
About 36 percent of financial firms are using artificial intelligence in compliance, and most firms intend to ramp up their reliance on AI in compliance in the next 12 months, according to a new survey by Nasdaq.
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