columnist dale

Top-of-mind takeaways from TPRM Summit


Top-of-mind issues addressed at Compliance Week’s Third-Party Risk Management & Oversight Summit, held June 3-4 in Atlanta, included safe deployment of artificial intelligence, assessing vendor viability and sustainability, understanding the role of procurement in risk ranking, the intersection (or lack thereof) between data privacy and cybersecurity, and many others.


​Book review: How compliance can help build organizational trust at speed


Anne Morriss, co-author of “Move Fast and Fix Things,” advises compliance officers to tap into curiosity, communicativeness, and comfort with discomfort to build organizational trust, fast.


FDIC culture scandal begs question: Why don’t regs have CCOs?


Regulators and government agencies often speak to the value of empowered corporate compliance programs to advancing their mission. Why not practice what they preach by empowering compliance among their own ranks?


Binance CEO got 4 months in prison. FTX’s got 25 years. Was compliance the difference?


Why the wild disparity in the sentences of Binance’s Changpeng Zhao and FTX’s Sam Bankman-Fried? Aaron Nicodemus argues the performance of the compliance teams at the two cryptocurrency exchanges was as big a contrast as the penalties earned by their respective founders.


Five reasons I’m excited for CW’s Financial Crimes Summit


Compliance Week’s Financial Crimes and Regulatory Compliance Summit will feature more than 50 prominent speakers representing government agencies, regulators, banks, investment advisers, and more tackling the top-of-mind risk areas facing the financial services industry.

CW2024 ITM

Highlights from Compliance Week 2024


Compliance officers took to the main stage to share their experiences at Compliance Week’s 2024 National Conference, while other highlights included conversations around artificial intelligence and the modern challenges the industry is confronting.


New leadership no easy fix for Irish DPC’s GDPR woes


The Irish Data Protection Commission has a new leadership structure, but it is uncertain whether the changes can get the key privacy regulator caught up on enforcement of the General Data Protection Regulation.


Ten things I’m excited for at CW National 2024


A new month and a new venue but a lot of the same you love about Compliance Week’s National Conference. CW Editor in Chief Kyle Brasseur shares what he’s looking forward to most at the 2024 edition of the annual event.


Ten things I’d like to see happen in 2024


Election years in the United States, United Kingdom, and at European Parliament, along with ongoing geopolitical tensions, make 2024 difficult to predict—aside from the expectation compliance officers will be busy.


Top ethics and compliance failures of 2023


A virtual currency exchange that sought to mislead regulators, banks failing after ignoring obvious risks, and a manufacturer that sold millions of its products in violation of U.S. export controls are among those that make up CW’s list of the biggest ethics and compliance fails of 2023.

Discover Financial Services

Five compliance triumphs from 2023


A financial services giant’s compliance mea culpa that could serve to benefit the rest of the profession, a chemical company’s praised FCPA settlement, and an example of the value of whistleblowers highlight CW’s annual list of laudable ethics and compliance moments.


Book review: Demythologizing money laundering, demystifying AML compliance


Movies and TV shows might have launched a thousand armchair experts on the topic of money laundering, but few can explain how or why it’s done. Ola Tucker’s book, “The Flow of Illicit Funds,” does exactly that.


No time like present to tackle thorny problem of off-channel comms


The new messaging on use off-channel communications for business should be clear: What was done before is no more. It cannot continue. The stakes are too high.


‘Ethics & Compliance for Humans’ highlights potential of profession


Adam Balfour’s new book explains the benefits ethics and compliance programs designed with the human experience in mind can have on workplaces, communities, and the world at large.


Incentive policies suggest calm before storm at DOJ


All the carrots being offered by the Department of Justice in the past year—greater penalty reduction thresholds, relief related to compensation clawbacks, voluntary self-disclosure incentives—are part of a strategy to strengthen the enforcement stick when companies don’t cooperate.


Fallout from ‘debanking’ scandal suggests more U.K. bank reforms coming


The former CEO of NatWest’s decision to leak client details to the press regarding Nigel Farage is likely to cost the financial industry millions in new compliance checks as U.K. regulators prepare reviews into how banks treat people with extreme political views.

columnist dale

Whistleblower goes above, beyond in Construction Specialties OFAC case


The impact of “see something, say something” was on display as part of Construction Specialties’ settlement with the Office of Foreign Assets Control for apparent Iran sanctions violations.


Keep ‘your’ in mind while reading ‘Living Your Best Compliance Life’


Author Mary Shirley establishes her ethics and compliance advice book as relatable for all practitioners, junior or senior level. The result is an enjoyable read that offers something for everyone from any E&C background.


​SEC’s latest whistleblower award worth note beyond $104M payout


The SEC announced a $104 million award split among seven whistleblowers, but the fact nearly a dozen claimants contacted the agency seeking to provide information related to one action should be notable to companies regarding the stakes of the current whistleblower landscape.