Thought Leadership Compliance Strategies & Reports

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.

New rules and regulations for conducting business are constantly being developed—sometimes daily, it seems—both domestically and globally. Organizations must keep up by implementing a robust regulatory mapping system to ward off fines and penalties and, at the same time, maintain brand equity.

Access to accurate data, and timely commentary and analytics is critical to making sound business decisions. And the pressure to provide that data and analysis to management is only becoming more intense.

Amid intensified regulatory scrutiny and enforcement in the financial services industry, on top of an astronomical rise in cyber-crimes, prudent financial, risk, and compliance professionals in the financial services industry will not want to miss this e-Book, sponsored by Thomson Reuters in collaboration with Compliance Week.

Who’s watching the machines? People. With many organizations using automation and artificial intelligence as their primary options for mitigating risks and protecting their businesses and customers, it’s increasingly important to have a better understanding of the people who are in the driver seat of those machines and controls.

Many investors are discovering they can no longer rely exclusively on the old bond trading model to meet all their liquidity needs. Seismic regulatory shifts have reduced large banks’ balance sheets, constraining their ability to hold inventory and support market liquidity. As a result, it has become harder and more costly for investors to source bonds and to quickly adjust their portfolios.

In this e-Book, produced by Compliance Week in partnership with Amber Road, companies will learn how to navigate the complex world of sanctions risk with an eye toward not just abiding by the law, but to helping inform better enterprise-wide business decision-making in the realms of product development, international expansion, and more.  

Dun & Bradstreet 2018 Compliance and Procurement Sentiment Report.

What are third party risk management salaries, budgets, challenges and opportunities? Find out the answers to these questions and more in Third Party Risk: A Journey to Maturity, Results of the 2018 ‘Taking the Pulse of Third Party Risk Management’ Survey.

Will the upcoming 16-year anniversary of Sarbanes-Oxley be a cause for celebration or a continued reflection of hitches faced along the way? The ball is in your court. You can be better able to improve your internal control over financial reporting (ICFR) program by resolving common challenges to management review controls (MRCs), including high compliance costs, outdated ICFR programs, and a continued focus on ICFR by regulators.

Technology is transforming the financial services industry in remarkable and significant ways. New intelligence is calling on audit leaders to embrace their new normal—that nothing is normal—and innovate with technology to face it. Financial institutions are also starting to think creatively—voluntarily banding together to strengthen their cyber-security defenses and provide additional protections for consumer account information. Evolving technology and cyber-threats are also transforming the way board members and senior executives must think about cyber threats and ways to protect the business.