All Surveys & Benchmarking articles – Page 7
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OpinionNo time like present to tackle thorny problem of off-channel comms
The new messaging on use off-channel communications for business should be clear: What was done before is no more. It cannot continue. The stakes are too high.
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News BriefLifecore Biomedical earns FCPA declination for voluntary self-disclosure
Pharmaceuticals company Lifecore Biomedical won’t face prosecution for apparent violations of the Foreign Corrupt Practices Act after satisfying multiple factors of the Department of Justice’s recently updated voluntary self-disclosure policy.
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PremiumHow technology can help track off-channel communications use
Establishing a set of policies and procedures to prevent employee use of nonauthorized electronic communications to conduct business is relatively straightforward. The hard part is monitoring compliance.
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PremiumA job never done: Tips for TPRM integration
Taking risk mitigation further and understanding your third parties and their risks can create value for your organization, practitioners discussed as part of a panel at CW’s virtual TPRM and Oversight Summit.
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PremiumSolving the off-channel communications conundrum
Firms monitoring employee use of off-channel communications for business purposes face numerous obstacles. How much is enough, in the opinion of regulators? How much is too much, in the eyes of employees? Determinations must be made as regulators crack down.
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News BriefSEC lauds cooperators, whistleblowers in FY23 enforcement results
A big year for disgorgement helped the Securities and Exchange Commission to its second highest total of financial remedies ordered in a single year in fiscal year 2023.
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ArticleThe five pillars of visibility
Learn key advice on how to raise your professional profile, whether you are working as a compliance professional in a permanent role for one company or as an independent contractor.
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News BriefHHS publishes updated healthcare compliance guidance
New guidance from the Department of Health and Human Services is designed to apply generally to the healthcare industry, from doctors to pharmaceutical manufacturers, and help all such entities self-monitor their compliance and prevent waste, fraud, and abuse.
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PremiumEmbracing change key to success for compliance officer of tomorrow
Between changes in technology and regulation and worsening geopolitical tensions, the compliance officer is being tested like never before. Those who will succeed in this environment are the ones that will be open to change, a panel discussed at Compliance Week’s Europe conference in London.
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PremiumKPMG report forecasts heighted risk standards for banks in 2024
A new report from KPMG predicted the banking and financial services industries will be hit with unprecedented regulatory intensity in 2024, with regulators expecting compliance deficiencies to be addressed more thoroughly and quicker than ever before.
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PremiumTPRM Summit: How to operate a risk-based due diligence program
A panel of experts broke down the nuts and bolts of integrating a risk-ranking strategy and tailored approach to third-party due diligence at CW’s virtual TPRM and Oversight Summit.
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News BriefFCPA opinion tackles government-authorized payments
A new Foreign Corrupt Practices Act review by the Department of Justice offers an example of when stipends paid to foreign government personnel would not be considered a violation of the anti-bribery provisions of the law.
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News BriefCFTC touts record digital asset results in FY23 enforcement recap
The Commodity Futures Trading Commission solidified its view that it should be a primary regulator of cryptocurrencies with a record amount of cases regarding the digital asset space in fiscal year 2023.
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PodcastDigital Transformation of Compliance podcast: CW Advisory Board member Stan Yakoff
In this episode of the Digital Transformation of Compliance podcast series, Stan Yakoff, a CW Advisory Board member and Fordham Law professor, shares his perspectives on sourcing new technologies, data measurement, and areas where tech can make the biggest impact.
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News BriefCFTC: ‘Majority’ of FY23 whistleblower cases related to crypto fraud
Most of the whistleblower tips received by the Commodity Futures Trading Commission in fiscal year 2023 related to fraud and misappropriation of crypto/digital assets.
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PremiumThe value of sales and compliance allyship
“Every compliance activity is a sales activity,” writes Al Raymond, privacy compliance officer at ZoomInfo, regarding his team’s approach to demonstrate to sales how a strong control environment can be a competitive advantage.
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News Brief
HealthSun Health Plans earns DOJ declination in employee fraud case
The impact of the Department of Justice’s voluntary self-disclosure program was on display in the agency’s declination of an enforcement action against Florida-based health insurance company HealthSun Health Plans for apparent fraud committed by its employees and agents.
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PodcastDigital Transformation of Compliance podcast: Ryder CCO Pilar Caballero
In this episode of the Digital Transformation of Compliance podcast series, Pilar Caballero, chief compliance officer and chief privacy officer at Ryder, discusses her company’s process for vetting privacy concerns regarding use of new technologies.
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PremiumSEC crackdown on whistleblower violations a warning on employment contracts
Recent enforcement cases brought by the Securities and Exchange Commission regarding apparent violations of its whistleblower protection rule are proof the agency is taking compliance with the rule “very seriously,” said Enforcement Director Gurbir Grewal.
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PremiumSurvey: Risk chiefs feeling pressure from growing compliance mandates
Mounting compliance requirements and technological innovations have chief risk officers facing more complex risk environments, according to a KPMG survey.