All Risk Management articles – Page 24
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Webcast
On-Demand: Say it. Do it. Prove it: Navigating the compliance trifecta in the age of AI
Delve into the crucial aspects of the compliance trifecta—say it, do it, prove it—and how organizations can navigate them through the art of data discovery.
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Premium
Q&A: Paxos CCO on defying stereotype of lax controls in digital asset industry
Carolina Ceballos, the first full-time chief compliance officer at Paxos, shares with Compliance Week what the blockchain infrastructure platform does, its culture, and how it uses compliance as a competitive advantage.
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News Brief
SEC fines former Marcum partner for causing control failures
An ex-partner at Marcum agreed to pay $75,000 to settle charges by the Securities and Exchange Commission he failed to remediate numerous quality control deficiencies magnified by the audit firm’s special purpose acquisition company client boom.
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Opinion
Fallout from ‘debanking’ scandal suggests more U.K. bank reforms coming
The former CEO of NatWest’s decision to leak client details to the press regarding Nigel Farage is likely to cost the financial industry millions in new compliance checks as U.K. regulators prepare reviews into how banks treat people with extreme political views.
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Webcast
CPE Webcast: A practitioner’s approach to living with data risk
This session is focused on the practical steps to balancing data risks, looking at the people, practices, and technologies behind the effort.
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Premium
California cybersecurity audit rule scope begins taking shape at CPPA meeting
A final version of California’s cybersecurity audit rules likely won’t be released until later next year at the earliest, according to a rough timeline discussed by the California Privacy Protection Agency.
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News Brief
FinCEN analysis: Trends in Russia export control evasion attempts
Analysis of suspicious activity reports by the Financial Crimes Enforcement Network indicates nearly $1 billion in suspicious activity in cases of suspected evasion of Russia-related export controls.
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News Brief
FDIC acknowledges supervisory lapses in First Republic Bank postmortem
Loss of confidence following the March collapses of Silicon Valley Bank and Signature Bank was the primary reason First Republic Bank failed in May, according to an internal review conducted by the Federal Deposit Insurance Corporation.
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Premium
CFTC commissioner floats pilot program for digital asset markets
Commissioner Caroline Pham of the Commodity Futures Trading Commission proposed the agency develop a regulatory pilot program for digital asset markets where new initiatives could be introduced and refined.
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Article
Five ways to build a top ethics and compliance team
Luciane Mallmann, head of ethics and compliance for U.K. and Ireland at real estate services company JLL, shares how embedding ethics and compliance into culture, strategy, and operations can add value to a business and its people.
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Premium
Q&A: Lexmark sustainability chief on defying ESG criticism to ‘stay the course’
John Gagel, chief sustainability officer for Lexmark International, shares with Compliance Week why the private company tracks its greenhouse gas emissions and plans to comply with the climate-related disclosure rule proposed by the Securities and Exchange Commission.
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Webcast
CPE Webcast: Seven practical tips for ongoing third-party risk monitoring
Are you staying vigilant when it comes to third-party risk? With more businesses relying on external third parties, it’s critical to monitor third-party risk on an ongoing basis.
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News Brief
SEC risk alert warns investment advisers over exam determinations
How the Securities and Exchange Commission determines which investment advisers to inspect and what areas those examinations typically cover were among subjects addressed in a new risk alert released by agency staff.
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Premium
Paying ransom to avoid GDPR fine an unwise gambit
Companies that think paying reduced ransomware demands would be a better move than informing regulators of a data breach and facing enforcement are playing with fire, according to experts.
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Resource
White paper: Raising the bar on risk management
The technologies and approaches that enterprises use to manage risk and compliance have evolved—and this evolution is creating a moment of opportunity.
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Premium
From 5 to 11: Keeping up with new state data privacy laws
If multi-state businesses thought at the start of 2023 complying with a patchwork of U.S. state privacy laws was going to be a lot of work, now they must be overwhelmed. Experts assess the fast-evolving U.S. privacy landscape.
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News Brief
Discover sued by investors over lax compliance procedures
Discover Financial Services faces a class-action lawsuit from investors alleging materially false and misleading statements regarding its business, operations, and compliance policies.
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News Brief
Switzerland floats AML reforms for beneficial ownership, legal advice
The Swiss government launched consultation proceedings on a series of reforms designed to combat money laundering and terrorist financing occurring within the country’s financial system.
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Premium
Q&A: Zeta CCO on leading innovation with compliance
Karla Booe, chief compliance officer for Zeta Services, discusses with Compliance Week how the card processor bakes compliance into its decision-making process for new technologies and product offerings.
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News Brief
FCA to review treatment of U.K.-based PEPs
The Financial Conduct Authority announced the scope of its review into the treatment of U.K.-based politically exposed persons, the latest development in response to the Nigel Farage “debanking” scandal.