The long-term impact of the new lease accounting compliance standards has yet to be seen, but the implementation issues facing many entities have become increasingly evident.
With at least five regulations already in place and the California Consumer Privacy Act (CCPA) on the horizon, it is time to start thinking ahead to ensure your organization can meet many different compliance requirements.
The price of fraud keeps going up, costing the global economy $41.6 trillion per year. Recognizing the four degrees of fraud is the first step in keeping fraudulent users off your platform.
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.
Following the 2008 financial crisis, regulatory compliance has come to play an ever-larger role in the lives of financial institutions. Regulatory requirements have become more complex and enforcement scrutiny has increased.
Organizations across regulated industries are obligated to screen transactions and customers against sanctions lists in order to avoid transacting with sanctioned countries, individuals and entities.
Social communication is no longer optional—even for businesses. Clients expect to engage with businesses on social media, and the most successful firms are delivering on that expectation. But as your digital presence grows, so does your exposure to risk.
Financial services, pharmaceuticals, healthcare, and energy are some of today’s most regulated industries. And their compliance risks have only grown as modern business evolves. And you must comply with new rules that govern email, the web, social media, and more.
Over the past ten years, US regulators have increasingly prioritized the importance of strict AML law enforcement to effectively deter money laundering and terrorist financing activity, with over $24bn in AML, KYC and sanctions penalties levied.
In the last five years, FINRA, the primary self-regulatory organization for broker-dealers, has focused on prioritizing designated third-party compliance.
Third-party relationships present one of the biggest risks a company can take on, which makes doing all you can to properly vet and monitor these partners of tantamount importance.
Compliance Week’s Top Minds Class of 2019 includes 12 stars of the compliance community (chosen from nearly 200 nominees) whose achievements are dwarfed only by their personal integrity and dedication to ethics. Read all about these dozen standouts in this special-edition e-Book.
California has not only been on the forefront of emerging technologies, it’s also been the most active state when it comes to regulating that new tech, especially when it comes to data privacy.
Doing the right thing in the face of adversity isn’t always easy, but there’s no question whistleblowing is the ethical choice, whether it be via internal channels or straight to the Securities and Exchange Commission.
Over the last several years, an increasing number of institutional investors, ratings agencies, and other stakeholders have turned up the heat on companies to disclose their environmental, social, and governance (ESG) initiatives.
In early 2019, Compliance Week and Refinitiv jointly conducted a special benchmark report on anti-bribery and anti-corruption compliance practices.
Artificial intelligence is transforming the way that companies and regulators alike tackle money-laundering and terrorist financing risk in remarkable and significant ways.
Featuring some of the world’s most prestigious universities, the online directory serves as a valuable information resource for anyone in the professional field looking to further their education.
Under rising pressure to be more transparent about how they oversee auditors, proactive audit committees are upping their game for evaluating all aspects of their audit