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Provided by Riskonnect2023-07-18T07:30:00
The recent banking crisis—in which three mid-sized U.S. banks failed—prompted just under half of compliance professionals across all industries to reassess their third-party risk management (TPRM) procedures, according to a recent survey conducted by Compliance Week and integrated risk management software provider Riskonnect.
The survey, which compiled 118 responses between April and May, found 45 percent of respondents changed or considered changing their procedures regarding third parties following the banking industry turmoil that began with the collapse of Silicon Valley Bank on March 10. Signature Bank and First Republic Bank would later also fail in the United States.
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2023-09-29T18:30:00Z By Aly McDevitt
New York-based investment adviser D. E. Shaw & Co. will pay a $10 million penalty to settle charges brought by the Securities and Exchange Commission that the company raised impediments to whistleblowing by employees.
2023-09-29T15:31:00Z By Kyle Brasseur
A dozen financial services firms were penalized by the Securities and Exchange Commission as the agency continues its enforcement sweep of recordkeeping violations regarding employee use of off-channel communications for business purposes.
2023-09-29T15:11:00Z By Kyle Brasseur
Chemical company Albemarle was assessed penalties totaling more than $218 million as part of settlements with the Department of Justice and Securities and Exchange Commission addressing alleged violations of the Foreign Corrupt Practices Act across a handful of foreign countries.
2023-09-19T20:46:00Z Provided by Morgan Lewis
Compliance professionals asked to assess their anti-bribery and corruption efforts indicated resource support deficiencies in areas including staffing and technology, according to a survey conducted by Compliance Week and Morgan Lewis.
2023-07-24T18:22:00Z Provided by Guidehouse
Three out of four financial services firms that chose to outsource portions of their financial crime compliance function reported they were pleased with the results, according to a new survey conducted by Compliance Week and Guidehouse.
2023-05-15T05:08:00Z Provided by FTI Consulting
Nearly two-thirds of senior compliance executives anticipate third parties to be the most heightened area of risk to their businesses in 2023, according to the results of a new study.
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