Webcast: Key strategies to ensure third-party compliance
Enterprises are now, more than ever, relying on a higher number of third-party, mission-critical technologies (along with their support and maintenance). As a result, enterprises are unintentionally opening themselves up to the largest source of data breaches.
Aug. 22 | Why T&E audit is more than policy compliance
Webcast details: August 22, 2019 – 11am (ET) | 4pm (UK) | 5pm (CET) | CPE Credit(s): 1
FDIC details credit and market risks
The Federal Deposit Insurance Corporation this week published its 2019 Risk Review, an annual publication highlighting emerging risks and exposures that could affect the banking system in the months ahead.
e-Book: 2019 Third Party Risk Management Solutions Directory
Third-party relationships present one of the biggest risks a company can take on, which makes doing all you can to properly vet and monitor these partners of tantamount importance.
Webcast: Broker-Dealers on Social Media: Understanding the Risks
Regulations put broker-dealers squarely in the spotlight of various risks and responsibilities. FINRA and the SEC govern marketing communications and advertising practices when communicating with the public. Additionally, the cybersecurity threat landscape is evolving and is one of the primary operational risk’s firms face today.
Aug. 29 | Keys to third-party risk management success
Webcast details: August 29, 2019 – 2 p.m. ET | CPE Credit(s): 1
Sept. 5 | Keep up with the speed of risk in the digital age
Webcast details: September 5, 2019 – 2 p.m. ET | CPE Credit(s): 1
Take stock of your trade compliance program
Compliance Week and Dun & Bradstreet invite you to share how your company is approaching the myriad complexities and risks of trade-based compliance.
Why CEOs today must be change leaders for social issues
The Wayfair walkout represents just the latest high-profile example of how social and policy issues continue to spill into the corporate ethics and compliance realm.
Webcast: Busting the 10 Myths of Third-Party Risk Management
Managing third-party risk is vital to every business’ reputation and long-term success. But with growing regulatory requirements, compliance skills shortages and numerous potential sources of information, managing third-party risk as an organization can feel like a very painful process.
Poll shows gaps in integrated risk management
Many organizations’ enterprise risk management capabilities aren’t as integrated as they need to be, leaving them vulnerable to legal, financial, regulatory, and reputational risks, according to a new GRC benchmark report.
Webcast: Best Practices for Managing Risk in the Age of Digital Transformation
Digital transformation is no longer optional. It has become mandatory for businesses to remain relevant and to compete in today’s digital economy. Now more than ever, an integrated approach to governance, risk, and compliance (GRC) is required to provide a wider view of changing organizational risk.
Compliance pioneer defines the future path of profession
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.
A new CCO’s Herculean task at Wells Fargo
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.
Inside Wells Fargo’s plan to restore trust
Compliance Week looks at highlights from Wells Fargo’s plan to transform the future.
Companies Look to Combat Corporate Misconduct
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.
FinCEN elaborates on virtual currency risk, obligations
SARs and due diligence are cited as effective tools for avoiding virtual currency malfeasance, says the Financial Crimes Enforcement Network.
BHP faces $5B claim over 2015 Brazilian dam collapse
Mining company BHP is facing a $5 billion damages action in the United Kingdom for its alleged negligence in its duty to prevent the Fundão dam collapse in Brazil in 2015.
Top 10 supply chain risks for 2019
Natural disasters, droughts, port disruptions, cargo theft, and industrial fires are some of the top supply-chain risks that should keep executives and chief risk officers on their toes in 2019, according to a new risk report.
Webcast: How Audit and ERM Work Together, A Combined Assurance Approach
Internal audit is a profession that provides assurance that objectives are being met for the organizations that it serves. However, it is not the only assurance provider performing audits and requesting information and often organizations are fatigued by different departments requesting the same information and reporting the same results. Enterprise ...
The Right Moves: The Evolution of Approach in Risk Management
The concept of risk management—what it is and consists of—is something that is often misunderstood or misinterpreted.
Options drive more risk than stock, study says
Company executives may be more likely to take on risk when their compensation is based more on stock options than stock awards, a new study says.
OCIE issues risk alert on Regulation S-P
The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert on Regulation S-P describing the most common deficiencies it has uncovered in recent examinations of both registered investment advisers and broker-dealers.
Best practices for managing employee reports
A recent report from NAVEX Global offers a look at how the performance of ethics and compliance officers’ hotline and incident management systems stack up against their peers.
Third-Party Risk: Best Practices for Due Diligence and Ongoing Assessments
The ever-changing regulatory landscape and sheer volume of third parties requires organizations to rethink their processes around pre-contract due diligence and ongoing vendor assessment reviews. Today’s most successful programs rely less on tedious, manual processes while incorporating verified, up-to-date information on financial status, watchlist compliance and information security from trusted ...
Marcel de Chermont: ‘no person left behind’
Marcel de Chermont, founder and principal of Caledonia Consulting, Inc., discusses with columnist Tom Fox how to tailor a risk-based compliance program to different groups of employees while getting the same message across.
We’ll show you how to demystify data analytics for compliance
At this Compliance Week 2019 session, HUB professionals discuss ways to improve the data analytics component of the compliance function with relevant training on data execution and risk detection.
Fed seeks comments on framework for foreign banks
The Federal Reserve Board is seeking public comments on a regulatory framework that would more closely match the rules for foreign banks with the risks they pose to the U.S. financial system.
Fueling Modern Risk Mitigation with APIs: A Quintessential Guide to Watch List Screening
As technology becomes more sophisticated and influences how organizations conduct business, the need for efficient watch list screening increases exponentially.
Special committee report details governance reforms needed at Nissan
Last year, Japanese automaker Nissan formed a “Special Committee for Improving Governance” after its chairman Carlos Ghosn was arrested for engaging in financial misconduct. On March 27, the special committee published its findings, holding nothing back.
Guarding the gatekeeper
Gatekeepers who have firsthand knowledge of corporate wrongdoing should be entitled to the same legal protections afforded to any other whistleblower.
Anatomy of a cryptocurrency pyramid scheme
Much has been discussed about the business risks posed by cryptocurrency. Now, risk and compliance professionals have a real-life cryptocurrency pyramid scheme with which to cite.
How to Detect the 7 Types of Document and Identity Fraud
Forgeries. Imposters. Counterfeit documents. You can’t afford to let fake identities slip through the cracks and put your company—and your customers—at risk.
Nokia discloses Alcatel-Lucent compliance issues
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.”
Regulators’ top risk cop assailed by reform-bent critics
The Financial Stability Oversight Council was created to expose and mitigate systemic risks to the U.S. financial system. Its critics are winning the long-simmering battle to redefine its efforts.
The Questions a Judge Will Ask You After a Data Breach
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 ...
Anatomy of a college cheating scandal, and the resolve to fix it
In response to the nationwide college admissions scandal, victimized universities are speaking out and sharing the steps they’ve taken to stop similar behavior from happening in the future.
Predictive Compliance: Finding Your Blind Spots
As a compliance leader, uncovering risks can often feel like staring at a page from a Where’s Waldo? book…a sea of potential candidates, but the actual character can be hard to spot (often by design). In the modern day reality, uncovering risk doesn’t have to be like this
Upping Your Compliance Game
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.
FBI creates new International Corruption Squad in Miami
Citing the success of its three other international corruption squads operating around the country, the Federal Bureau of Investigation has announced the creation of a fourth dedicated international corruption squad, this one based in its Miami Field Office.
Internal audit still vexed by data, third-party risks
Internal audit is making strides in steering its focus and resources toward companies’ emerging risks—but there’s still some work to be done, the IIA says.