All Risk Management articles – Page 59
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PremiumESG experts see shades of conflict minerals for SEC climate disclosure rule
The climate-related disclosure rule proposed by the Securities and Exchange Commission will eventually pass but not before undergoing some changes, practitioners speaking at CW’s virtual ESG Summit predicted.
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ArticleBoeing fined $200M for material misstatements on fatal plane crashes
Boeing agreed to pay $200 million to settle charges laid by the Securities and Exchange Commission that it misled investors regarding what caused two crashes of 737 MAX airplanes in 2018 and 2019 that killed 346 people.
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PremiumAsk a CCO: Tech most subject to regulator scrutiny over next 5 years?
Four senior compliance practitioners offer what they believe will be the technology currently on the market that will receive the most attention from regulators over the next five years.
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ArticleCollateral damage aplenty in NYAG lawsuit against Trump Organization
The New York Attorney General’s lawsuit against former President Donald Trump is solely focused on penalizing his business and cohorts, but firms like Mazars and Deutsche Bank don’t come off well from a due diligence perspective.
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PremiumESG Summit: Holistic approach to supply chain risk an ‘investment differentiator’
Two experts explained how the C-suite as a whole—not just compliance officers—should be focused on the holistic approach to supply chain risk management during a session at CW’s virtual ESG Summit.
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PremiumAsk a CCO: Accounting for regulator expectations in using new tech
Regulatory environments are ever evolving; four senior compliance practitioners detail what their respective businesses do to ensure compliance while utilizing new technologies.
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PremiumExperts: Where to start on your ESG journey
ESG directors from Tenneco and Amneal Pharmaceuticals shared best practices for businesses broaching the initial phases of environmental, social, and governance reporting at CW’s virtual ESG Summit.
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PremiumAsk a CCO: Due diligence during Year 1 of implementing new tech
The first year is critical in assessing the success of implementing a new technology. Four senior compliance practitioners reveal how their respective firms carry out due diligence during implementation.
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ArticleTreasury seeking comment on illicit finance risks posed by digital assets
The Treasury Department is seeking public input on how to address illicit finance and national security risks posed by digital assets, part of a multipronged push by the Biden administration to hold bad actors accountable and identify potential enforcement and regulatory gaps.
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PremiumAsk a CCO: How does your firm assess the efficacy of new tech?
Four senior compliance practitioners describe how they evaluate new technologies to determine whether they are the right fit for their respective companies.
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PremiumESG Summit: How Rite Aid is preparing to comply with SEC’s climate disclosure rule
Amanda Patrick, Rite Aid’s director of ESG/corporate sustainability, shared the retail pharmacy chain’s sustainability journey so far and how it is readying to meet the SEC’s potential disclosure mandates during her keynote address at CW’s virtual ESG Summit.
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PremiumAsk a CCO: How do you get buy-in from leadership to invest in new tech?
Four senior compliance practitioners share keys to delivering a strong business case to management to secure budget resources for investment in new technologies.
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ArticleDOJ to emphasize individual accountability, prior misconduct in corporate crime probes
Deputy Attorney General Lisa Monaco announced sweeping changes to the Department of Justice’s efforts to fight corporate crime, including new guidance regarding individual accountability, voluntary self-disclosure, compliance monitors, and ways to strengthen compliance culture.
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ArticleRegulation by enforcement does nobody any favors
To see a prominent representative from the CFTC accuse the SEC of “regulation by enforcement” might raise the eyebrow of some observers. But it shouldn’t—not when that’s the latter’s stated strategy.
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ArticleHow effective beneficial ownership searches leverage technology
Determining the ultimate beneficial owner of individuals and companies your firm does business with can be a tricky thing. The most efficient investigations require an understanding of your firm’s risk appetite and appropriate technology to automate searches.
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ArticleExperts: Europe’s AI Act to push companies to confront technology’s use
The Artificial Intelligence Act, along with upcoming EU rules addressing digital markets and services, should have companies considering their use of AI and other emerging technologies to determine how the laws might impact their business.
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ArticleStrategies for balancing risk/reward of investing in new technologies
Taking a step back before committing to a technology project to weigh the risks and rewards can prove beneficial in the long term. Consider the following best practices.
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ArticleNAVEX survey: Remote work, whistleblower trends to test speak-up cultures
Maintaining a speak-up culture requires increased attention from businesses with many employees still working remote, putting more of an onus on the reporting function, according to the latest NAVEX study.
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ArticleIn person or remote? Best practices for navigating tension of hybrid work model
Remote workers enjoy the flexibility. In-person employees love they’ve got the office to themselves. But there is a risk these two types of employees will begin to resent each other, creating a corporate culture clash, labor and compliance professionals say.
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ArticlePwC lawsuit prompts reconsideration of after-hour work events
Big Four audit firm PwC is being sued by one of its employees for more than £200,000 (U.S. $234,000) after he injured himself at a post-work drink event in 2019. The incident is not the first where “team-bonding” efforts have proven problematic.