Six senior compliance practitioners offer their perspectives on what makes for an effective training program and share tips and guidance for companies looking to enhance their education initiatives.
Global fines and penalties against financial institutions hit $36 billion last year, as ramifications from the financial crisis continue to reverberate throughout the financial services industry, according to a new report.
If you’re among the practitioners who need more resources to turn your compliance training program into one that is truly effective (and that’s many of you, according to our survey), we have some advice.
Compliance officers in the financial services industry face “unnecessary risks” that undermine effectiveness and regulatory goals, according to a new report by the Compliance Committee of the New York City Bar Association.
Even as companies continue to agree to multi-billion-dollar settlements related to the corrupt acts of third parties, managing the risks associated with them nevertheless eludes many compliance departments.
There are a multitude of factors that need to be established when determining training requirements. What is clear is that a one-size-fits-all approach doesn’t work.
A new study from Florida International University professors says retailers such as Urban Outfitters, Foot Locker, and Abercrombie & Fitch—that have a significant use of operating leases—reported abnormal stock returns when they disclosed earnings.
DLA Piper’s latest data breach survey suggests the penalties handed out under the General Data Protection Regulation thus far are not as harsh as they could have been—though that could change in 2020.
Public company audit fees remained virtually unchanged in 2018, according to the latest annual study by Audit Analytics.
According to a Willis Towers Watson survey, the majority of U.S. publicly traded companies would not remain silent if given the opportunity by the SEC to respond to proxy advisor voting recommendations.
Environmental, social, and governance factors are increasingly playing an influential role in the underwriting processes of global banks, according to a new report released by Fitch Ratings.
With a combined 64 years experience in compliance, these four chief compliance officers reflect on how the profession has evolved over the past decade-plus and what challenges lie ahead.
A new study from Protiviti and North Carolina State University not only highlights those risks companies should keep an eye on in the coming year—it also prompts leadership to explore whether or not they’re taking enough risks.
With the clock ticking toward the Jan. 1 implementation date, Compliance Week and ACA Aponix asked 100 compliance practitioners whether their company would be CCPA compliant by the deadline. Their collective answer? Nope.
A Conference Board analysis of trends in shareholder voting and activism in Russell 3000 corporations demonstrates more shareholder savvy and creativity in pursuing social and environmental issues.
Allianz Global Corporate & Specialty’s latest report highlights five “megatrends” that will have significant risk implications for senior management in 2020 that should be of interest to compliance officers.
Too many meetings, too little time? In the latest edition of the Ask Amii mailbag, executive coach Amii Barnard-Bahn offers tips on how to reset your corporate calendar and better prioritize your time.
Some companies might scramble to comply with more—and sometimes quickly shifting—sanctions requirements as the U.S. government chalks up record enforcement levels.
Financial institutions are feeling more confident than ever about their compliance management practices, but they remain concerned about the “moving targets” of regulators, new research shows.
You need help managing your third parties, and over the course of two days in San Francisco, we hope to help you find the answers to the questions that keep TPRM stakeholders up at night.
A new benchmark report published by sustainability ratings provider EcoVadis provides a comprehensive analysis of the corporate social responsibility performance of more than 30,000 companies around the world.
A new survey from the U.S. Chamber of Commerce and Nasdaq says the number of companies identifying conflicts of interest at proxy advisory firms has almost doubled.
A recent survey says a majority of Americans don’t trust data privacy policies and procedures, even while U.S. companies are hastening to enhance them in advance of the California Consumer Privacy Act’s implementation.
The 2019 Audit Committee Transparency Barometer indicated investor confidence in audit committee effectiveness was strong (81 percent) and had increased 10 percentage points since the first report was issued in 2014.
A new survey shows the use of personal devices and contemporary communication platforms are par for the course in work settings; yet 45 percent of firms feel they are incessantly behind the eight-ball when it comes to managing electronic message compliance.
Don’t expect a plug-and-play technology solution to this complex new problem.
The latest edition of TRACE International’s annual Bribery Risk Matrix shows many of the same countries named in last year’s report are still struggling with business-related bribery risk. One country on the rise: the United States.
An expert sheds light on behavioral science-driven solutions that help businesses prepare for a breach before it happens.
Results of Compliance Week’s second annual technology survey suggest companies are moving along the technological maturity curve in ways that are both quantitative and qualitative compared to last year.
Research and advisory firm Gartner has released its annual “Audit Hot Spots” report, which reveals the three top risk areas for internal audit teams and chief audit executives in 2020.
Although the Payment Card Industry Data Security Standard (PCI DSS) launched back in 2004, 15 years later, most organizations still struggle to adhere to it.
Improving workplace equality is on the list of concerns and priorities for European employers, with many moving to address equal pay and workplace harassment, according to the findings of a newly released survey.
The role board directors of public companies play in providing oversight and governance around business strategy, investments, and policies—and their focus on emerging issues—has reached new heights, according to the findings of BDO’s 2019 board survey.
Nearly three-fourths of respondents in a recent retail privacy survey said they are willing to share personal data in exchange for better pricing, special discounts, or exclusive offers.
An organization is only as strong as its weakest link. As enterprises expand their international reach, the potential for uncovering fallible business associates multiplies.
The number of board nominees who failed to receive majority shareholder support in the first six months of 2019 reached a five-year high, according to the latest ProxyPulse report.
As the role of the top legal officer at public companies continues to evolve, general counsel compensation has steadily increased over the last five years, according to a new report.
Compliance and procurement leaders see the value in using artificial intelligence, but far too many aren’t confident they have the right skills in place to use it, according to a new report from Dun & Bradstreet.
A new survey published by Deloitte highlights the latest trends—both opportunities and challenges—in companies’ journey toward a more mature extended enterprise risk management program, one in which third-party risk management is integrated across the firm and led from the top.
A recent study from Audit Analytics that analyzed SOX 404 disclosures in the past 15 years reveals some interesting trends surrounding large and small companies’ internal control over financial reporting.
We put a compliance spin on the classic Enneagram personality typing model to bring you a fun and informative tool for figuring out which of the nine profiles rings most true for you.
We’re celebrating “Compliance Officer Day” by releasing our first annual “Inside the Mind of the CCO” special report, which is aimed at, among other things, figuring out what motivates and challenges today’s chief compliance officers.
Bucking the trend: Survey shows women more likely to hold top compliance roles, have a law degree, and make a bit more money than men.
Our first-of-its-kind survey examines the habits and strategies chief compliance officers rely on when the going gets tough, as well as their risk appetites, most valued skills, and, of course, their salaries.
The trend of few female leaders within the sector seems to be shifting, at least when it comes to the chief compliance officer position.
Of the 290 respondents to our “Inside the Mind of the CCO” survey, just 29 report yearly compensation of more than $400,000. We’ll call this group “The 10 Percenters.”
As the last line of defense for the corporation, CCOs must have certain qualities that set them apart, including courage, humility, and what our career coach calls “executive presence.”
As part of our “Inside the Mind of the CCO” special report, we asked eight compliance leaders the same five questions regarding their experiences and thoughts on the profession.
Despite warnings to prepare, financial institutions still face a lot of work and uncertainty around the demise of LIBOR, a new assessment suggests.
Halfway through the first year reporting under new lease accounting rules, only one-fourth of public companies said their implementations were complete, according to a recent Deloitte poll.