Thought Leadership Compliance Strategies & Reports

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

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.

While many investors have long taken factors into account for risk management, they’re increasingly recognizing that factors can also be return drivers.

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.

Most investors are familiar with equity index investing, but less so with indexing in fixed income. As a result of this lack of understanding, a growing number of publications are questioning the validity of bond indexing.

This Global Supply Chain Risk Report is a joint publication by Cranfield School of Management and Dun & Bradstreet. Experts from Cranfield’s Centre for Logistics and Supply Chain Management have analysed Dun & Bradstreet’s transaction and risk data to create this report, which investigates actual supply chain risks faced by European companies with international footprints.

Is your company a hotbed of harassment? True Office Learning data shows that 34% of employees aren’t able to identify behaviors that create a hostile work environment. Here are 3 signs your organization needs anti-harassment training.

The number of financial products currently available to portfolio managers is impressive, with some of today’s instruments offering enhanced liquidity and eased access to the underlying markets.

Download this white paper, Understanding OFAC: A Best Practices Compliance Guide for All Businesses, to learn how you can enhance your compliance programs and mitigate potential risks.

Internal audit plans in 2018 give more consideration to corporate culture and the risks it might pose to the company’s success. This e-Book explores what changes these developments are creating for audit executives and steps to consider as you focus on a risk culture. 

The institutions participating in the Greenwich Associates 2017 U.S. ETF Study are preparing their investment portfolios for the return of volatility and the shift to a rising interest rate environment.  As part of those efforts, they’re increasing their use of ETFs and integrating the funds into more sophisticated portfolio applications.

An outdated or inefficient process for tracking and dealing with conflicts of interest can be a major contributor to the risk of noncompliance. However, the contributors to risk are not always clear. Outlined in this white paper are “5 Ways Your COI Process Creates Risk.

Traditional long compliance training sessions, whether in-person or online, are no longer effective. Employees get bored, tune out and disengage – shorter attention spans demand shorter bursts of content. Utilizing microlearning methods in your training ensures that employees will engage with and retain your compliance communications.