Thought Leadership Compliance Strategies & Reports

Traditional compliance training methods are no longer effective at reaching today’s employees.

Banks and other financial institutions have a lot of work ahead of them as they prepare to adopt the new standard on reflecting credit losses in financial instruments (the so-called CECL standard).

Many employees see compliance training as fundamentally uninteresting, irrelevant -- or just plain boring.

Compliance officers and chief risk officers of multinational companies are well-aware of the myriad risks that third parties pose in day-to-day operations.

Is 2019 the year of the compliance officer?, more regulator questions in the new year, SEC enforcement priorities for 2019, accounting changes in 2019, top ethics and compliance failures of 2018, and more.

Complying with the U.S. Treasury’s Office of Foreign Assets Control (OFAC) regulations on sanctions against foreign entities requires much more than checking a list of restricted companies and individuals.

Establishing an effective and compliant data privacy plan isn’t easy considering insufficient U.S. regulation, flaws with the EU’s GDPR, and Big Data feeding the beast.

The pace at which technology is driving change in today’s companies is accelerating at a rapid clip, resulting in boosted efficiencies, better collaboration with the business, enhanced compliance, and more.

From Big Data to cryptocurrencies, money laundering and terrorism financing is an ever-evolving risk.

From sanctions to tariffs, the United States is increasingly a source of geopolitical risk, further making compliance issues under the current U.S. administration a nightmare for sanctions compliance professionals not just in the United States, but also in the United Kingdom, Europe, Canada, Mexico, and beyond.

Nothing is more frustrating than being slotted into an inflexible platform that restricts your compliance process.

Despite the presence of an active gifts and entertainment policy, an internationally well-known company was finding it difficult to apply and enforce its process consistently across the organization.

Different compliance models have their own strengths and weaknesses regarding control, consistency and understanding of local nuance.

The Department of Justice, Securities and Exchange Commission, and Internal Revenue Service (among other U.S. regulators) have all entered the fray when it pertains to guiding companies to mitigate third-party risk.

The financial services industry faces many regulations on how to engage on social media, including communication and retention rules from FINRA, SEC, FCA, IIROC, and others.

Emerging technologies like artificial intelligence, blockchain, robotic process automation, natural language learning, cloud-based services, and machine learning are pushing into the compliance landscape

Today’s cyber security battlegrounds extend beyond your corporate environment – think social media channels, domains, mobile apps, and even the dark web.

There has been no shortage of companies making headlines recently for having in place a toxic corporate culture.

When it comes to customer risk, do your teams have the visibility they need to prevent an anti-money laundering (AML) violation?

Despite the nearly constant buzzing about Bitcoin and other cryptocurrencies, their underlying technology framework, blockchain, is where the real excitement is, creating both risks and opportunities for companies.

When choosing a software to manage risk and compliance, choosing the right software is critical. The wrong software can lead to serious issues that can have lasting damage your company and reputation.

BlackRock’s 2018 investment themes have been refreshed against a backdrop of steady global growth and strong corporate earnings, but rising macroeconomic uncertainty.

Conduct risk poses an existential threat to companies across industries and jurisdictions because regulators, auditors and other oversight professionals are increasingly holding senior managers accountable for the actions of individuals associated with a firm.

Recent analysis shows that many companies don’t have adequate visibility into their third parties, and even less so into their third parties’ third parties and beyond.

Do you worry that your compliance program has grown stale? Here are five things that you can start doing right away to inject fresh, new life into your company’s compliance communications.