Internal Controls


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Aug. 22 | Why T&E audit is more than policy compliance

2019-08-22T14:00:00+01:00Provided by

Organizations are failing to solve the employee-spend challenge as travel and expense (T&E) transactions continue to suffer from non-compliance and fraud. Companies also have unnecessarily high audit costs and inadequate risk coverage thanks to manual testing of T&E transactions.

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Cathay Pacific execs quit due to Hong Kong protests

2019-08-20T15:19:00+01:00By

Amid pressure from Chinese authorities after initially not penalizing employees for taking part in the Hong Kong pro-democracy protests, two top Cathay Pacific executives have tendered their resignations.

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Webcast: Getting the audit scores you want

2019-08-20T14:00:00+01:00Provided by

Many organizations today need to adhere to stringent audit and compliance rules to prove they’re following established guidelines and regulations. An automated compliance approach centralizes audit information, and provides easier access to key controls and status. Furthermore, automation can reduce labor intensive costs and non-value-added time often associated with manual ...

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Aug. 27 | Beneficial ownership establishment & monitoring

2019-08-05T03:52:00+01:00Provided by

Webcast details: August 27, 2019 – 2 p.m. ET   |  CPE Credit(s): 1

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Chief compliance officer liability and the opioid epidemic

2019-08-02T17:32:00+01:00By

In a period of three months, two chief compliance officers have been charged for their individual roles in the opioid epidemic—a clear indication the Department of Justice continues to expand the scope of prosecutions to those who fail in their compliance responsibilities.

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Max Roche on grant money management compliance

2019-07-22T18:20:00+01:00By

Max Roche, compliance manager of direct funding at the World Economic Forum, discusses his role in making sure grant money received by the organization is spent in the way intended.

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Sept. 24 | The Truth About Training Fatigue…and How to Avoid It

2019-07-15T15:38:00+01:00Provided by

Webcast details: September 24, 2019 – 2 p.m. ET   |  CPE Credit(s): 1

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White paper: 5 Compliance Steps for Video Conference Recording in Financial Services

2019-07-08T16:57:00+01:00Provided by

There are 6+ different electronic communications present in video conferencing. MiFID II and SEC 17a-4 have retention and supervision requirements that apply to the audio and electronic communication within video conferences, requiring organizations to develop a compliance plan to govern this growing medium of communication.

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Vanessa Rossi on operationalized compliance done right

2019-07-02T15:46:00+01:00By

Vanessa Rossi, senior compliance counsel at Baker Hughes, explains to columnist Tom Fox the benefits of operationalized compliance and how to ensure it is properly in place.

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Oct. 3 | Following the money to prevent human trafficking

2019-07-01T04:26:00+01:00Provided by

Webcast details: October 3, 2019 – 2 p.m. ET   |  CPE Credit(s): 1

Questions raised

KPMG fallout: Cheating allegations raise new questions

2019-06-19T19:33:00+01:00By

After new allegations at KPMG of cheating on internal training tests, audit committees now have another area of questioning for their external auditors.

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Benchmark report provides holistic look at compliance best practices

2019-06-18T15:49:00+01:00By

A benchmark report published by NAVEX Global provides comprehensive research into the multiple disciplines of an ethics and compliance program.

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Data, behavioral analysis must go hand in hand

2019-06-07T20:16:00+01:00By

There is a growing realization that data analysis, devoid of psychological and behavioral analysis, might not be as effective as hoped or intended.

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Soft skills, strategy set to define CCO of future

2019-05-30T17:30:00+01:00By

Determining the future of compliance and its practitioners is a tall task, one that a panel of experts at CW’s 2019 annual conference analyzed with their respective insights.

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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.

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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.

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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.

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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.

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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.”

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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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My Compliance Library: 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.

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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.