All Resource articles – Page 9
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ResourceWhite paper: Best practices for Audio Recording Supervision
Best practices for using AI & ML to enhance audio recording supervision programs.
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Resourcee-Book: FCPA: More Crumble Under Revised DOJ Policy
Violations of anti-corruption laws can have devasting consequences for any company across any industry, if not managed appropriately—including significant fines, reputational damage, and litigation that can span several years—all of which create disruption to business operations.
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ResourceWhite paper: Internal Controls Over Financial Reporting Considerations for Developing and Implementing Bots
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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ResourceWhite paper: Taming third-party risk with digital
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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ResourceWhite paper: Transform your Compliance and Ethics Training with Integrity
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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ResourceWhite paper: 2019 CCO Playbook
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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Resourcee-Book: CECL: Don’t get left behind on FASB’s credit loss standard
The Financial Accounting Standards Board has approved delays for its credit loss standard, a.k.a. CECL, but companies—especially financial institutions—still have a long way to go.
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ResourceWhite paper: Essential transcription dos and don’ts for your audio recording review program
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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ResourceWhite paper: ASC 842 and IFRS 16: 5 Lessons Learned for a Smoother Transition
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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ResourceWhite paper: Workforce Optimization and Data Privacy Compliance
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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Resourcee-Book: 2019 Third Party Risk Management Solutions Directory
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.
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ResourceGuide: Can your ID verification solution stand the heat?
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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ResourceWhite paper: 5 Compliance Steps for Video Conference Recording in Financial Services
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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Resourcee-Book: Meet the Top Minds Class of 2019
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.
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ResourceWhite paper: Global Regulatory Outlook – Are We There Yet?
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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ResourceWhite paper: Global AML Screening: Leveraging Technology to Combat False Positives
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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ResourceWhite paper: Social media communications: Reward—and risk
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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ResourceWhite paper: Global Digital Communications Compliance for Regulated Industries
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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ResourceWhite paper: US in Focus: AML/KYC & Sanctions Fines 2008-2018
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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ResourceWhite paper: Globanet Designated Third Party (D3P) Guidelines
In the last five years, FINRA, the primary self-regulatory organization for broker-dealers, has focused on prioritizing designated third-party compliance.