Thought Leadership


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Inside Conflict of Interest: Interview with an Industry Leader

2019-05-16T15:07:00+01:00Provided by

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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Microlearning: The New Standard for Compliance Programs

2019-05-15T20:13:00+01:00Provided by

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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Companies Look to Combat Corporate Misconduct

2019-05-15T17:22:00+01:00Provided by

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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Third Party Risk: Driving Cross-Functional Alignment Across the Vendor Lifecycle

2019-05-10T17:15:00+01:00Provided by

Outsourcing is nothing new, but recently we’ve seen companies increasingly rely on a network of third-party vendors to help them compete.

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The Compliance Officer’s Ultimate Compliance Guide

2019-05-02T16:20:00+01:00Provided by

The job of compliance officer has become increasingly dominated by technology and automation. And one under constant pressure from changing regulation globally.

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The Right Moves: The Evolution of Approach in Risk Management

2019-04-26T21:38:00+01:00Provided by

The concept of risk management—what it is and consists of—is something that is often misunderstood or misinterpreted.

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The Four Pillars of a Comprehensive Harassment Prevention and Compliance Strategy

2019-04-26T21:14:00+01:00Provided by

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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A pilot project: Addressing the global outcry against corrupt business practices

2019-04-26T20:25:00+01:00Provided by

As the outcry on bribery and corruption continues to tighten its grip around rogue players in the private and public business sectors, organizations ramp up their efforts to develop effective frameworks to prevent, detect and report corruption.

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The OCEG GRC Illustrated Series: Connected Management of Operational Risk Prevents Disruption

2019-04-16T19:42:00+01:00Provided by

Are you facing constant disruptions to your business operations? Many things can disrupt the business and the measure of this disruption is called operational risk.

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The OCEG GRC Illustrated Series: Finding Ultimate Beneficial Owners

2019-04-16T19:12:00+01:00Provided by

Are you struggling with the challenge of identifying the real owners behind your customers or parties you do business with?

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Fueling Modern Risk Mitigation with APIs: A Quintessential Guide to Watch List Screening

2019-04-09T19:10:00+01:00Provided by

As technology becomes more sophisticated and influences how organizations conduct business, the need for efficient watch list screening increases exponentially.

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How to Detect the 7 Types of Document and Identity Fraud

2019-03-27T18:46:00+00:00Provided by

Forgeries. Imposters. Counterfeit documents. You can’t afford to let fake identities slip through the cracks and put your company—and your customers—at risk.

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Following Privacy’s Yellow Brick Road with BDO: GDPR – CCPA

2019-03-26T17:37:00+00:00Provided by

With new privacy regulations in the works, the California Consumer Privacy Act (CCPA), effective January 2020, stands out as the next big privacy regulation companies will need to grapple with.

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2019’s Key Tech Trend for Capital Markets? That’s Private

2019-03-26T17:37:00+00:00Provided by

To get the full use of your data as data privacy rules increase, you need an innovative technology approach.

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10 Tips to Managing Social Media Compliance

2019-02-13T11:20:00+00:00Provided by

The financial services industry faces many regulations on how to engage on social media, including communication and retention rules from FINRA, SEC, FCA, IIROC, and others.

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Microlearning: The New Standard For Compliance Programs

2019-01-31T14:00:00+00:00Provided by

Traditional compliance training methods are no longer effective at reaching today’s employees.

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How to Stop Delivering Boring Compliance Training: A Holistic Approach to Employee Engagement

2019-01-22T14:30:00+00:00Provided by

Many employees see compliance training as fundamentally uninteresting, irrelevant — or just plain boring.

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Leveraging data and technology for sanctions compliance: OFAC’s '50 Percent Rule'

2019-01-03T11:45:00+00:00Provided by

Complying with the U.S. Treasury’s Office of Foreign Assets Control (OFAC) regulations on sanctions against foreign entities requires much more than checking a list of restricted companies and individuals.

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Key Factors in Choosing a Third-Party Compliance Platform

2018-11-20T14:15:00+00:00Provided by

Nothing is more frustrating than being slotted into an inflexible platform that restricts your compliance process.

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Case Study: Global Payment Processing Company Selects MCO to comply with Anti-bribery and Corruption Regulations

2018-11-15T13:45:00+00:00Provided by

Despite the presence of an active gifts and entertainment policy, an internationally well-known company was finding it difficult to apply and enforce its process consistently across the organization.

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Increasing Efficiencies Within Centralized and Decentralized Third Party Compliance Programs

2018-11-09T18:22:00+00:00Provided by

Different compliance models have their own strengths and weaknesses regarding control, consistency and understanding of local nuance.

Achieving Holistic AML

2018-09-13T11:00:00+01:00Provided by

When it comes to customer risk, do your teams have the visibility they need to prevent an anti-money laundering (AML) violation?

Key Considerations When Selecting GRC Software

2018-08-29T16:15:00+01:00Provided by

When choosing a software to manage risk and compliance, choosing the right software is critical. The wrong software can lead to serious issues that can have lasting damage your company and reputation.

BlackRock’s Midyear 2018 Global Investment Outlook

2018-08-24T13:45:00+01:00Provided by BlackRock

BlackRock’s 2018 investment themes have been refreshed against a backdrop of steady global growth and strong corporate earnings, but rising macroeconomic uncertainty.

What is Conduct Risk and How Can Technology Mitigate it?

2018-08-21T11:45:00+01:00Provided by

Conduct risk poses an existential threat to companies across industries and jurisdictions because regulators, auditors and other oversight professionals are increasingly holding senior managers accountable for the actions of individuals associated with a firm.

Rethinking Communications: 5 Ways to Boost the Effectiveness of Compliance Communications

2018-08-09T11:15:00+01:00Provided by

Do you worry that your compliance program has grown stale? Here are five things that you can start doing right away to inject fresh, new life into your company’s compliance communications.

Regulatory Mapping Is Integral to Compliance Functions

2018-07-31T13:30:00+01:00Provided by

New rules and regulations for conducting business are constantly being developed—sometimes daily, it seems—both domestically and globally. Organizations must keep up by implementing a robust regulatory mapping system to ward off fines and penalties and, at the same time, maintain brand equity.

Management Reporting: Let’s Stop Reinventing the Wheel

2018-07-27T11:45:00+01:00Provided by

Access to accurate data, and timely commentary and analytics is critical to making sound business decisions. And the pressure to provide that data and analysis to management is only becoming more intense.

Addressing the Human Element of Cybersecurity

2018-07-25T14:30:00+01:00Provided by

Who’s watching the machines? People. With many organizations using automation and artificial intelligence as their primary options for mitigating risks and protecting their businesses and customers, it’s increasingly important to have a better understanding of the people who are in the driver seat of those machines and controls.

Sentiment Index

2018-07-12T13:45:00+01:00Provided by

Dun & Bradstreet 2018 Compliance and Procurement Sentiment Report.

Institutional Bond ETF Guide: Markets on Demand

2018-07-12T11:45:00+01:00Provided by BlackRock

Many investors are discovering they can no longer rely exclusively on the old bond trading model to meet all their liquidity needs. Seismic regulatory shifts have reduced large banks’ balance sheets, constraining their ability to hold inventory and support market liquidity. As a result, it has become harder and more ...

Third Party Risk: A Journey Toward Maturity

2018-07-10T13:45:00+01:00Provided by

What are third party risk management salaries, budgets, challenges and opportunities? Find out the answers to these questions and more in Third Party Risk: A Journey to Maturity, Results of the 2018 ‘Taking the Pulse of Third Party Risk Management’ Survey.

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Refocus your internal control lens on management review controls

2018-06-26T11:15:00+01:00Provided by

Will the upcoming 16-year anniversary of Sarbanes-Oxley be a cause for celebration or a continued reflection of hitches faced along the way? The ball is in your court.

Global Supply Chain Risk Report

2018-06-15T11:15:00+01:00Provided by

Image: This Global Supply Chain Risk Report is a joint publication by Cranfield School of Management and Dun & Bradstreet. Experts from Cranfield’s Centre for Logistics and Supply Chain Management have analysed Dun & Bradstreet’s transaction and risk data to create this report, which investigates actual supply chain risks faced ...

Is your company a hotbed of harassment? 3 Signs That Your Organization is Far from Harassment-Proof

2018-06-15T09:00:00+01:00Provided by

Is your company a hotbed of harassment? True Office Learning data shows that 34% of employees aren’t able to identify behaviors that create a hostile work environment. Here are 3 signs your organization needs anti-harassment training.

Understanding OFAC: A Best Practices Compliance Guide for All Businesses

2018-06-14T09:00:00+01:00Provided by

Image: Download this white paper, Understanding OFAC: A Best Practices Compliance Guide for All Businesses, to learn how you can enhance your compliance programs and mitigate potential risks.

Blockchain Technology and Its Potential Impact on the Audit and Assurance Profession

2018-06-04T10:00:00+01:00Provided by

Blockchain was first introduced as the core technology behind Bitcoin, the headline-grabbing decentralized digital currency ecosystem proposed in 2008. The appeal of blockchain technology lies in its use of peer-to-peer network technology combined with cryptography.

Five Ways Your Conflict of Interest Process is Creating Risk

2018-06-04T09:00:00+01:00Provided by

An outdated or inefficient process for tracking and dealing with conflicts of interest can be a major contributor to the risk of noncompliance. However, the contributors to risk are not always clear. Outlined in this white paper are “5 Ways Your COI Process Creates Risk.