All Risk Management articles – Page 106
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ArticleFinCEN elaborates on virtual currency risk, obligations
SARs and due diligence are cited as effective tools for avoiding virtual currency malfeasance, says the Financial Crimes Enforcement Network.
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Article
BHP faces $5B claim over 2015 Brazilian dam collapse
Mining company BHP is facing a $5 billion damages action in the United Kingdom for its alleged negligence in its duty to prevent the Fundão dam collapse in Brazil in 2015.
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ArticleTop 10 supply chain risks for 2019
Natural disasters, droughts, port disruptions, cargo theft, and industrial fires are some of the top supply-chain risks that should keep executives and chief risk officers on their toes in 2019, according to a new risk report.
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ResourceThe Right Moves: The Evolution of Approach in Risk Management
The concept of risk management—what it is and consists of—is something that is often misunderstood or misinterpreted.
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ArticleOptions drive more risk than stock, study says
Company executives may be more likely to take on risk when their compensation is based more on stock options than stock awards, a new study says.
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ArticleOCIE issues risk alert on Regulation S-P
The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert on Regulation S-P describing the most common deficiencies it has uncovered in recent examinations of both registered investment advisers and broker-dealers.
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ArticleBest practices for managing employee reports
A recent report from NAVEX Global offers a look at how the performance of ethics and compliance officers’ hotline and incident management systems stack up against their peers.
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PodcastMarcel de Chermont: ‘no person left behind’
Marcel de Chermont, founder and principal of Caledonia Consulting, Inc., discusses with columnist Tom Fox how to tailor a risk-based compliance program to different groups of employees while getting the same message across.
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ArticleWe’ll show you how to demystify data analytics for compliance
At this Compliance Week 2019 session, HUB professionals discuss ways to improve the data analytics component of the compliance function with relevant training on data execution and risk detection.
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ArticleFed seeks comments on framework for foreign banks
The Federal Reserve Board is seeking public comments on a regulatory framework that would more closely match the rules for foreign banks with the risks they pose to the U.S. financial system.
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ResourceFueling Modern Risk Mitigation with APIs: A Quintessential Guide to Watch List Screening
As technology becomes more sophisticated and influences how organizations conduct business, the need for efficient watch list screening increases exponentially.
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Special committee report details governance reforms needed at Nissan
Last year, Japanese automaker Nissan formed a “Special Committee for Improving Governance” after its chairman Carlos Ghosn was arrested for engaging in financial misconduct. On March 27, the special committee published its findings, holding nothing back.
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Article
Lockpath updates Keylight Platform
Integrated risk management solutions provider Lockpath announced the newest update to the Keylight Platform, designed to increase the efficiency and usability of the solution.
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Article
Lexington Realty Trust appoints chief risk officer
Lexington Realty Trust announced key changes to its leadership team, including the appointment of a new chief risk officer and a new chief accounting officer.
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ArticleGuarding the gatekeeper
Gatekeepers who have firsthand knowledge of corporate wrongdoing should be entitled to the same legal protections afforded to any other whistleblower.
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ArticleAnatomy of a cryptocurrency pyramid scheme
Much has been discussed about the business risks posed by cryptocurrency. Now, risk and compliance professionals have a real-life cryptocurrency pyramid scheme with which to cite.
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ResourceHow to Detect the 7 Types of Document and Identity Fraud
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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Article
Descartes, Kharon partner on sanctions risk intelligence
Software as a service (SaaS) solutions provider Descartes Systems Group has integrated research company Kharon’s sanctions ownership data into its screening solution.
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Article
Nokia discloses Alcatel-Lucent compliance issues
Following its 2016 acquisition of Paris-based telecommunications company Alcatel-Lucent, Nokia disclosed in a filing with the Securities and Exchange Commission that it has “been made aware of certain practices relating to compliance issues at the former Alcatel-Lucent business that have raised concerns.”
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ArticleRegulators’ top risk cop assailed by reform-bent critics
The Financial Stability Oversight Council was created to expose and mitigate systemic risks to the U.S. financial system. Its critics are winning the long-simmering battle to redefine its efforts.