Thought Leadership


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White paper: File Sharing for Financial Services and Banking Industry

2019-12-10T02:38:00+00:00Provided by

In this age of unprecedented growth in unstructured data, emerging global privacy regulations, and increased threat of cyberattacks, a heightened focus on data security is no longer optional.

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White paper: Sustainability Disclosure Goes Mainstream

2019-12-06T08:35:00+00:00Provided by

Executives increasingly take stakeholder considerations into account when they make decisions, and directors have a fiduciary duty to understand the environmental and social impacts of the business and related implications to the company’s risk profile and strategy.

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White paper: Vendor Risk: Find It Before It Finds You

2019-12-02T12:22:00+00:00Provided by

It is virtually impossible to move forward in business without vendor relationships, but having vendors also means having potential risk.

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White paper: Artificial Intelligence & Human Analysis: A Collaborative Relationship

2019-11-18T05:23:00+00:00Provided by

While many industries have become fixated with the potential of AI – including the field of corporate due diligence – asking if it will replace the human component may be the wrong question.

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White paper: A Guide to Financial Close Management

2019-11-14T09:00:00+00:00Provided by

Learn how to undergo a digital transformation (in 3 easy steps) that will help you to optimize your financial close process.

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White paper: Eliminate Manual Madness to Simplify Your Financial Processes

2019-11-13T14:21:00+00:00Provided by

Learn how to eliminate manual processes and mitigate risks within your month-end close.

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White paper: 12 Lessons from One Trillion Screens

2019-11-13T09:51:00+00:00Provided by

Now that RDC has carried out one trillion screens they assure you, efficient compliance screening is possible.

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White paper: Leveraging Microsoft Office 365 for Policies and Procedures Management

2019-11-05T04:32:00+00:00Provided by

In today’s business climate, policy and procedure management is essential to stay in compliance and create a solid foundation that will enable organizations to communicate effectively, foster a sense of company cohesion, develop employee engagement, and reduce noncompliance.

Certent Driving ROI

White paper: The Case for a Comprehensive Equity Compensation Solution White Paper

2019-10-29T10:59:00+00:00Provided by

Compensation structures continue to evolve, with new and added award types, a greater demand to tie pay to performance, more complex accounting, and more time being spent addressing participant questions and issues.

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White paper: Sustainability and the board: What do directors need to know?

2019-10-22T12:15:00+01:00Provided by

With growing investor attention to sustainability, there is often greater emphasis on the governance element (the “G”) of ESG (environmental, social, and governance) and the board’s fiduciary duty to oversee a company’s strategy, risk, and capital allocation.

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White paper: Committing to Data Privacy Compliance

2019-10-22T06:54:00+01:00Provided by

California’s new data privacy law, The California Consumer Privacy Act of 2018 (CCPA), is ushering in a new era of consumer privacy protections in the U.S.

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White paper: Mitigate privacy risks and exploit valuable data

2019-10-16T18:51:00+01:00Provided by

The new California Consumer Privacy Act (CCPA) takes effect on January 1, 2020. Ahead of this milestone – and with several States working on new data management regulations – many financial services organizations are concerned with the risks of non-compliance.

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White paper: Best practices for Audio Recording Supervision

2019-10-10T03:09:00+01:00Provided by

Best practices for using AI & ML to enhance audio recording supervision programs.

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White paper: Internal Controls Over Financial Reporting Considerations for Developing and Implementing Bots

2019-09-30T02:22:00+01:00Provided by

Companies are rapidly digitalizing parts of their business through robotic process automation (RPA). RPA uses computer-coded, rules-based software robots (i.e., bots) to automate certain human tasks.

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White paper: Taming third-party risk with digital

2019-09-23T16:38:00+01:00Provided by

Damaging headlines like this have grown steadily in recent years. Triggered by third parties – such as suppliers, joint-venture partners, and contractors – and exacerbated by longer, more complex supply chains, compliance failures are becoming commonplace. Especially as regulators extend their reach. Building a sustainable framework for third-party risk using ...

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White paper: Transform your Compliance and Ethics Training with Integrity

2019-09-21T12:54:00+01:00Provided by

Your annual compliance and ethics training is the flagship communication to your global workforce; the effectiveness of your training has far reaching, significant impacts for your organization.

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White paper: 2019 CCO Playbook

2019-09-10T18:44:00+01:00Provided by

Understanding the regulatory environment, both past and current, can help shape your compliance strategies. ComplySci’s CCO Playbook will ensure you keep up with regulatory changes and provide you with a game plan to meet many of the top challenges CCOs face today.

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White paper: Essential transcription dos and don’ts for your audio recording review program

2019-08-29T01:33:00+01:00Provided by

Transcription is merely a starting point for call recording review and even the voice portion video recording review.. That said, voice-to-text technologies and even search tools built for transcripts still haven’t met both of the distinct last-mile-needs around using transcripts for compliance.

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White paper: ASC 842 and IFRS 16: 5 Lessons Learned for a Smoother Transition

2019-08-12T18:35:00+01:00Provided by

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.

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White paper: Workforce Optimization and Data Privacy Compliance

2019-08-05T18:22:00+01:00Provided by

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.

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Guide: Can your ID verification solution stand the heat?

2019-07-11T18:48:00+01:00Provided by

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.

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White paper: 5 Compliance Steps for Video Conference Recording in Financial Services

2019-07-08T16:57:00+01:00Provided by

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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White paper: Global Regulatory Outlook – Are We There Yet?

2019-06-14T17:47:00+01:00Provided by

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.

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White paper: Global AML Screening: Leveraging Technology to Combat False Positives

2019-06-13T17:52:00+01:00Provided by

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.

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White paper: Social media communications: Reward—and risk

2019-06-11T19:30:00+01:00Provided by

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.

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White paper: Global Digital Communications Compliance for Regulated Industries

2019-06-05T19:28:00+01:00Provided by

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.

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White paper: US in Focus: AML/KYC & Sanctions Fines 2008-2018

2019-06-05T16:29:00+01:00Provided by

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.

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White paper: Globanet Designated Third Party (D3P) Guidelines

2019-06-04T17:44:00+01:00Provided by

In the last five years, FINRA, the primary self-regulatory organization for broker-dealers, has focused on prioritizing designated third-party compliance.

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10 Tips to Managing Social Media Compliance

2019-05-27T11:20:00+01:00Provided 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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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.

Onspring The Right moves

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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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.