Internal Controls


HuiChen

Compliance pioneer defines the future path of profession

2019-05-20T22:17:00+01:00By

Compliance functions of the future need to better use data, measure outcomes, and deal with differing views on what constitutes good ethics, says expert Hui Chen.

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Nissan to overhaul its governance structure

2019-05-20T11:22:00+01:00By

In a meeting this month, Nissan’s board of directors unanimously voted in favor of a transition from a company with statutory auditors to a company with three statutory committees.

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A new CCO’s Herculean task at Wells Fargo

2019-05-17T15:32:00+01:00By

Compliance Week chats with Wells Fargo CCO Mike Roemer about the challenge of rebuilding trust at a company that’s been the poster child of compliance and risk management gone wrong.

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Inside Wells Fargo’s plan to restore trust

2019-05-17T15:19:00+01:00By

Compliance Week looks at highlights from Wells Fargo’s plan to transform the future.

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How to Effectively Achieve Sustainable Compliance

2019-05-16T15:25:00+01:00Provided by

SOX has been in effect for more than 15 years, yet many companies still haven’t streamlined key elements of their compliance process. Spreadsheets and email remain the most common way to manage the data collection and affirmations that compliance requires. Software designed to manage compliance can provide strong controls that ...

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Inside Conflict of Interest: Interview with an Industry Leader

2019-05-16T15:07:00+01:00Provided by

Osprey Compliance Software is proud to bring you this inside insight interview with Roy Snell. As the ex-CEO of major compliance organizations SCCE and HCCA, Roy is a well established expert in the compliance industry.

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Microlearning: The New Standard for Compliance Programs

2019-05-15T20:13:00+01:00Provided by

Traditional compliance training methods are no longer effective at reaching today’s employees. As a compliance professional, you need new methods to ensure employees engage with and retain your compliance communications.

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Companies Look to Combat Corporate Misconduct

2019-05-15T17:22:00+01:00Provided by

As corporate misconduct, such as sexual harassment and discrimination, continue to make headlines, companies are becoming increasingly focused on detecting “bad behaviors” so they can be appropriately managed.

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5 Seismic Shifts In Compliance Training

2019-05-14T14:57:00+01:00Provided by

Compliance training is one of the most powerful tools a compliance team can use to empower employees to be their most ethical selves. With less than 1% violations resulting from actual malicious intent, this webinar will dig in to the critical shifts you can make to use this employee touchpoint ...

Terms

EU data supervisor warns online providers about Ts & Cs

2019-05-02T19:06:00+01:00By

The European Data Protection Supervisor is warning social media and tech companies that their consumer terms and conditions may soon come under increased scrutiny if they fail to comply with the agency’s rules.

Beeghly

Brian Beeghly on defining ethical leadership

2019-04-29T07:22:00+01:00By

Brian Beeghly, former chief compliance officer at Johnson Controls, explains to columnist Tom Fox the steps taken in designing a leadership model in the wake of an FCPA investigation.

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The Four Pillars of a Comprehensive Harassment Prevention and Compliance Strategy

2019-04-26T21:14:00+01:00Provided by

3 out of 4 non-manager employees who experienced harassment did not report it, according to a 2018 Society for Human Resource Management (SHRM) survey.

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Breaking down the barriers to effective internal control

2019-04-24T19:08:00+01:00Provided by

When implementing and maintaining an effective internal control framework challenges can often come from multiple angles - Process, Culture and Technology. These are amplified when working outside of the highly regulated industries such as Finance and Healthcare. In order to successfully plan and implement a control framework that delivers increased ...

Culture

Executing a culture of integrity initiative

2019-04-17T19:51:00+01:00By Mary Shirley

Building a culture of integrity is more than just putting on a compliance week fair; join this Conversation at the annual CW conference in May to learn how to implement a culture of integrity.

Interview

Next steps for senior compliance professionals and how to get there

2019-04-15T20:55:00+01:00By Ling-Ling Nee

You’ve climbed far up the corporate ladder, but what are your next steps? Join this expert panel at Compliance Week 2019 to discuss how to choose the right trajectory toward evolution in the corporate world.

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2019 Directory of Governance, Risk, and Compliance Education Programs

2019-04-10T18:45:00+01:00By Compliance Week

Featuring some of the world’s most prestigious universities, the online directory serves as a valuable information resource for anyone in the professional field looking to further their education.

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Katie Smith on compliance at a growth company

2019-04-08T15:26:00+01:00By

Katie Smith, chief compliance officer at Convercent, shares with columnist Tom Fox the challenges she’s faced as a CCO at a growth company.

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Guarding the gatekeeper

2019-04-02T15:19:00+01:00By

Gatekeepers who have firsthand knowledge of corporate wrongdoing should be entitled to the same legal protections afforded to any other whistleblower.

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Ask Amii mailbag: Keys to effective, engaging training

2019-04-02T15:13:00+01:00By

Executive coach Amii Barnard-Bahn tackles your questions on compliance training, conducting an ethics health check, and more.

Self

Kathy Self on achieving global compliance

2019-04-01T19:14:00+01:00By

Kathy Self, chief compliance officer and data protection officer at Universal Weather and Aviation, explains to columnist Tom Fox the hurdles a small, global company must overcome when approaching compliance.

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Best Practices, Tips, & Tools C&E Leaders Can Use to Better Engage Employees

2019-03-26T19:03:00+00:00Provided by

Employee engagement is a struggle for most C&E leaders, but this informative webinar with Compliance Week will provide the tools and support compliance needs to garner more internal attention.

Morals

Why ‘moral leadership’ matters, and how to demonstrate it

2019-03-25T21:39:00+00:00By

Most employees believe moral leadership leads to better business results, but few believe senior leaders consistently demonstrate those qualities. That’s according to the findings of a new report, “The State of Moral Leadership in Business 2019,” conducted by ethics and compliance advisory firm LRN.

Yapchai

Kim Yapchai on engaging compliance training

2019-03-25T12:16:00+00:00By

Kim Yapchai, chief ethics and compliance officer at Tenneco, explains to columnist Tom Fox her approach of using interactive games in compliance training.

Nokia

Nokia discloses Alcatel-Lucent compliance issues

2019-03-22T15:06:00+00:00By

Following its 2016 acquisition of Paris-based telecommunications company Alcatel-Lucent, Nokia disclosed in a filing with the Securities and Exchange Commission that it has “been made aware of certain practices relating to compliance issues at the former Alcatel-Lucent business that have raised concerns.”

SECBooks

SEC adopts amendments, MD&A changes to simplify disclosures

2019-03-21T20:39:00+00:00By

The SEC has adopted amendments to Regulation S-K disclosure requirements and MD&A filings that are intended to improve the readability of company disclosures and to discourage repetition and immaterial information.

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The Questions a Judge Will Ask You After a Data Breach

2019-03-21T14:00:00+00:00Provided by Halock

If you are breached and your case goes to litigation, you will likely be asked to demonstrate “due care” and that your controls were “reasonable.” Many are surprised to learn that a breach by itself does not constitute negligence in most cases. But judges will ask a set of questions ...

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FCA fines UBS £27.6M for transaction reporting failures

2019-03-19T20:48:00+00:00By

The U.K. Financial Conduct Authority has fined UBS £27.6 million (U.S. $36.6 million) for failings relating to 135.8 million transaction reports.

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Upping Your Compliance Game

2019-03-14T14:00:00+00:00Provided by

Despite increasing rules and regulations, the risk of fraud looms large. That’s why Scientific Games, a leader in the gaming and lottery industries, is not one to gamble with compliance and controls. As an advanced user of BlackLine Task Management, they had exhausted the product’s limits.

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Book review: How to create a ‘Fearless Organization’

2019-03-13T14:55:00+00:00By

Richard Bistrong explains how Amy C. Edmondson’s book on organizational health relies on the idea that employees are not governed by fear, but rather empowered by a safe environment that embraces honesty and candor.

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FDA Commissioner Scott Gottlieb to resign

2019-03-05T16:45:00+00:00By

Scott Gottlieb, commissioner of the Food and Drug Administration, announced Tuesday that he will resign within the next month.

Dubar

Cédric Dubar on tone at the middle

2019-03-04T10:15:00+00:00By

Cédric Dubar, chief compliance & ethics officer at Volvo Car Group, details to columnist Tom Fox how tone at the middle can benefit the leadership structure of a company.

Taylor

Alison Taylor on CEO activism, social responsibility

2019-02-25T10:45:00+00:00By

Alison Taylor, managing director at Business for Social Responsibility, discusses with columnist Tom Fox the importance and implications of CEO activism in today’s political environment.

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A Comprehensive View of the Compliance Initiative

2019-02-12T14:00:00+00:00Provided by

Every organization, realizing it or not, relies on systems of internal controls to accomplish their most critical goals. Whether you’re trying to demonstrate compliance with a law or regulation, align processes with internal policies or just protect your personnel assets, controls are the key mechanism to drive accountability and measure ...

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Building a better board and the benefit of director self-assessments

2019-02-04T15:30:00+00:00By

Technological disruption, the dark side of corporate culture, and evolving expectations from diverse stakeholders are all making the job of director more challenging, says a report by EY’s Center for Board Matters.

Berland

Russ Berland on addressing culture in training

2019-02-04T11:45:00+00:00By

Russ Berland, former chief compliance officer at BearingPoint, details to columnist Tom Fox the success a training video series designed in the vein of “The Office” had in bridging culture gaps at his company.

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Microlearning: The New Standard For Compliance Programs

2019-01-31T14:00:00+00:00Provided by

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

Axpiredemo

Expense Compliance Software – Resolvr (avoid $30M Fines & enjoy more profit)

2019-01-30T12:45:00+00:00Provided by

Resolvr is an expense allocation, invoice management, and compliance tool with dynamic expense apportionment.

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How to Stop Delivering Boring Compliance Training: A Holistic Approach to Employee Engagement

2019-01-22T14:30:00+00:00Provided by

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

Whistle

Study: Blowing the whistle won’t harm the bottom line

2019-01-10T13:30:00+00:00By

A new study from NAVEX Global reveals whistleblower hotlines don’t often prove detrimental to business outcomes.

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When the customer’s not right

2019-01-02T10:00:00+00:00By

The Petrobras, Stryker, and Polycom enforcement actions serve as a lesson to compliance officers on how to guard against customer bribery schemes.

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Enable Governance and Value in the Information Economy through Data Cataloging, Categorizing and Mapping

2018-12-06T14:00:00+00:00Provided by

Data is the world’s newest currency. Information Governance is the path to capitalizing on your investment in data. At the heart of governance is cataloging, categorization and mapping. Not knowing what data you have, where it is, how to protect it, how it complies with laws, its quality or ...

Bunker

David Bunker on assessing conflict of interest

2018-11-26T10:15:00+00:00By

David Bunker, the compliance officer at Seattle-based nonprofit Vulcan, explains the process he implemented to better assess threats of conflict of interest while maintaining employee freedom.