Surveys & Benchmarking

Bank confusion

Experts: Fraud risks heightened amid banking turmoil


The stunning, rapid collapse of Silicon Valley Bank, fueled in its final days by droves of panicked depositors seeking funds, likely added to the chaos within the bank and ratcheted up the risk of fraud, according to legal experts.

Business agreement

Five tips to secure your first role in compliance

2023-03-20T15:00:00+00:00By Judith Hawkins, International Compliance Association

Are you interested in taking that first step into a compliance career but aren’t sure where to start? Consider the following suggestions.


​TRACE enforcement report highlights anti-bribery trends from 2022


The United States broke from a three-year downturn in bribery-related enforcement actions, while Brazil continued its emergence in the space, according to the results of the latest annual Global Enforcement Report by nonprofit TRACE.

DOJ wall

Experts: DOJ clawback pilot to be ‘work in progress’


Businesses and compliance professionals should expect the Department of Justice’s new compensation clawback policies to be applied on a case-by-case basis, with broad discretion, according to legal experts.

ESG money

Accounting and reporting challenges of environmental credits


Companies are working on plans to reduce their carbon emissions. The popularity of environmental credits has grown as a way for companies to meet their emission reduction targets.


​Experts: Delaware court McDonald’s ruling lowers bar on officer liability


The fiduciary duty of oversight that historically has applied only to directors “applies equally to officers,” including CCOs, the Delaware Court of Chancery explicitly held in its ruling regarding former McDonald’s Chief People Officer David Fairhurst.


Ten things I’m excited for at CW National 2023


Ten weeks before Compliance Week National 2023 kicks off May 15 at the JW Marriott in Washington, D.C, CW Editor in Chief Kyle Brasseur shares what he’s looking forward to most at the annual event.

Google HQ

​Google, Uber CCOs share approaches to data analytics


The chief compliance officers of Google and Uber offer insight into how their data analytics compliance programs have evolved amid enhanced scrutiny on use of technology from the Department of Justice.

DOJ building

DOJ sets new compliance criteria for criminal investigations


The Department of Justice announced changes to its evaluation procedures for corporate compliance programs in criminal investigations, including monitoring off-channel messaging by employees, executive compensation programs, and how the agency selects compliance monitors.

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Ask a CCO: What matters most in federal privacy law?

2023-03-03T14:00:00+00:00By Compliance Week

Four senior compliance practitioners provide their opinions on what a federal privacy law in the United States should strive to accomplish.


DOJ to implement new clawback, compensation policies for corporate settlements


Corporate resolutions involving the Department of Justice’s Criminal Division will now include a requirement the resolving company develop compliance-promoting criteria within its compensation and bonus system, according to Deputy Attorney General Lisa Monaco.

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Ask a CCO: Most difficult element of data privacy compliance

2023-03-02T14:00:00+00:00By Compliance Week

Four senior compliance practitioners offer their take on the elements of data privacy compliance businesses can expect to be most difficult to confront.

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Ask a CCO: Company investment in data privacy efforts

2023-03-01T14:00:00+00:00By Compliance Week

Four senior compliance practitioners discuss how their respective companies invest in compliance with varying data privacy requirements.


California ‘setting the tone’ for privacy push with CPRA updates


Changes to the California Consumer Privacy Act set to come over the course of 2023 strengthen the nation’s first comprehensive state privacy law to a benchmark no other states have yet to equal.

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Ask a CCO: Roles in data privacy compliance efforts

2023-02-28T14:00:00+00:00By Compliance Week

Four senior compliance practitioners share their roles in ensuring data privacy compliance at their respective companies and the other departments that support their efforts.

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Ask a CCO: Plan for complying with varied U.S. privacy laws

2023-02-27T14:00:00+00:00By Compliance Week

Four senior compliance practitioners detail steps their respective companies are taking to confront the expanding U.S. data privacy legislation landscape.

U.S. privacy

Best practices for navigating changing U.S. data privacy landscape


With five new or amended state laws set to hit the books in 2023, companies would be wise to ensure their data privacy compliance house is in order—and start preparing for the next wave of legislation.

Cloud data

Cloud ‘not a silver bullet’ for security


A panel of cyber experts and a chief compliance officer in financial services discussed the business risks, threat vectors, and vendor ‘gotchas’ associated with transitioning to a cloud provider at CW’s virtual Cyber Risk & Data Privacy Summit.

United States cyber

‘This is where we are now’: Cyber environment calls for continuous monitoring


Securing your organization’s private data when vendors have access to it means managing relationships from beginning to end, panelists at CW’s virtual Cyber Risk and Data Privacy Summit agreed.


Lessons in cybersecurity: Control the breach narrative


Recent botched data breach responses at Activision Blizzard and GoDaddy prompt timely consideration of communication best practices shared by cybersecurity experts at CW’s virtual Cyber Risk & Data Privacy Summit.


ChatGPT comes with compliance caveats, experts warn


There are downsides to every new technology, and artificial intelligence and machine learning are no exception. Experts discussed the importance for compliance professionals to understand the risks of such tools at CW’s virtual Cyber Risk & Data Privacy Summit.

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CPE Webcast: Managing third-party risk in 2023: Trends and best practices

2023-02-23T14:00:00+00:00Provided by

In a recent survey by Dun & Bradstreet and Compliance Week, more than half of respondents indicated they had increased vendor/third-party due diligence efforts as a result of global disruption and instability.

European Commission

EU handbook touts diverse practices for combating corruption


The European Commission published a collection of best practices from each European Union member state that companies and compliance officers might find useful to combat corruption.

Health data

HHS reports: Compliance reviews, health data breaches up


The number of compliance reviews by the Department of Health and Human Services of health organizations increased between 2017 and 2021, according to the agency’s latest reports to Congress.


Cybersecurity pillars: Prevention, protection, mitigation, governance


The former superintendent of the New York State Department of Financial Services explained how the structure of a cybersecurity program is like a compliance program and can be divided into four buckets during a panel discussion at CW’s Cyber Risk & Data Privacy Summit.


Book review: Why revamping procurement benefits business—and compliance


In “Profit from the Source,” four Boston Consulting Group thought leaders argue why procurement should be shaping corporate strategy, not just supporting it. Author Daniel Weise tells Compliance Week why such a transformation would elevate compliance, too.

Allan Friedman 2 Cyber Risk 2023

CISA strategist: What is an SBOM and why it matters to compliance


Cyberattacks on software are increasing, and the best chance organizations have of protecting themselves is to know about potential vulnerabilities through a software bill of materials, CISA Strategist Allan Friedman shared at CW’s virtual Cyber Risk & Data Privacy Summit.


Survey: Cybersecurity, regulatory risks lead TPRM priorities in 2023


Respondents to a survey from Compliance Week and Dun & Bradstreet overwhelmingly indicated cybersecurity to be the most important compliance-related area affecting third-party risk management in the new year, though fraud and other risks should still be on their radar.

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e-Book: Top TPRM priorities in 2023

2023-02-09T02:52:00+00:00Provided by

Respondents to a survey from Compliance Week and Dun & Bradstreet overwhelmingly indicated cybersecurity to be the most important compliance-related area affecting third-party risk management in the new year, though fraud and other risks should still be on their radar.

DOJ wall

False Claims Act settlements net lower return in FY2022


Penalties assessed for violations of the False Claims Act topped $2.2 billion during fiscal year 2022, less than half the mark the Department of Justice reached the previous year.


SEC exam report highlights Marketing Rule, Reg BI, private fund advisers


The Securities and Exchange Commission’s 2023 examination priorities report laid out areas under the microscope this year, including compliance with the agency’s Marketing Rule and Regulation Best Interest.

Treasury Department

Treasury report flags benefits, drawbacks to use of cloud services


The Treasury Department issued a report regarding the benefits and challenges associated with the use of cloud service providers by financial sector firms, finding shortcomings related to transparency, staff support, and cybersecurity incident response.


Cybersecurity challenges: Defense and disclosure


Experts share perspectives regarding the criticality of cybersecurity risks, what the response of management and boards should be, and how proposed disclosure requirements need to be incorporated into cyber-related responsibilities.

Spinning globe

TI 2022 Corruption Perceptions Index shows ‘scant progress’


Around the world, countries attempting to address their corruption issues are not making much progress, while countries failing to address corruption are worsening the problem, according to Transparency International’s latest Corruption Perceptions Index.

Best Buy store

Learning from Wells Fargo: How Best Buy launched its enterprise risk and compliance function


Todd Hartman, general counsel and chief risk officer of Best Buy, shares the catalyst behind revamping the retailer’s second line of defense and the lasting benefits of separating compliance from legal.

Business defense

Ethical culture strengthened by 2022 challenges, survey finds


LRN’s annual ethics and compliance benchmarking report found most respondents—85 percent—said their company’s ethical culture has been strengthened, not weakened, in facing the Covid-19 pandemic, Russia’s war in Ukraine, supply chain disruptions, and more.


Study: Healthcare overtakes finance as most breached industry in 2022


Healthcare organizations were under attack more than ever by cybercriminals in 2022, overtaking finance as the most breached industry, according to the latest analysis from Kroll.


PCAOB inspections: SPACs lend to Marcum struggles


The Public Company Accounting Oversight Board’s latest batch of 2021 audit inspection reports included a setback in results for Marcum largely related to the firm’s work dealing with special purpose acquisition companies.

Scott Hulsey

Q&A: Ex-DOJ official on policy changes, new CCO expectations


Scott Hulsey, partner at Barnes & Thornburg, former federal prosecutor, and a former chief compliance officer, discusses with Compliance Week how CCOs should respond to the Department of Justice’s recent policy changes regarding corporate crime.


Report: Audit committees bracing for increased role in ESG, ERM, cyber


A new report from the Center for Audit Quality and Deloitte found corporate boards are taking a fresh look at their audit committee structures and practices to respond to emerging corporate reporting areas and increased risks.

Forced labor hands

Good faith not good enough in navigating global supply chain laws


Differences in the level of duty of vigilance among supply chain legislation in countries including the United States, United Kingdom, and Germany mean best efforts to root out and stop slave labor and other worker exploitation are not enough, according to experts.

Sustainability measures

Climate and sustainability reporting challenges: Auditors’ perspectives


Partners from several of the top global accounting firms shared perspectives about the state of sustainability reporting and the impact on auditors and their clients at a recent industry event.

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e-Book: ‘Inside the Mind of the CCO’ on the 2022-23 compliance landscape

2023-01-17T03:28:00+00:00Provided by Avetta

Twenty years removed from the passage of the Sarbanes-Oxley Act, compliance has established itself as a key component of the global business landscape. And yet, 2022 brought new priorities to the fore for many in the profession.

FINRA New York

FINRA focuses on financial crime in annual exam report


The Financial Industry Regulatory Authority’s annual report on examinations and risk monitoring indicated a new emphasis for the regulator on combating financial crime, particularly cybercrime.


U.S. bribery risk landscape in 2023: TRACE Matrix, Corruption Risk Forecast


Analyzing the results of two recent reports offers an understanding of the U.S. landscape around anti-bribery efforts entering 2023 and where elevated risks might lie.


Ten things I’d like to see happen in 2023 (2022 in review)


Expect big developments for the compliance profession in 2022 to continue to take center stage in the year ahead, including CCO certifications, climate-related disclosures, and more.

PCAOB inspections 2021

PCAOB 2021 inspection reports: PwC sees best results again; EY deficiencies increase


For the second straight year, PwC fared the best among inspection results released by the Public Company Accounting Oversight Board for the largest U.S. audit firms, including each of the Big Four, Grant Thornton, and BDO.


Managing sanctions risk: Keys to successful implementation

2022-12-22T16:33:00+00:00By Holly Thomas-Wrightson, International Compliance Association

The International Compliance Association hosted a webinar looking at challenges faced by organizations regarding changes in the sanctions landscape in 2022. Holly Thomas-Wrightson offers a recap of the discussion.


Does ESG offer opportunity? Or is it just another area for compliance friction?


Compliance practitioners share their experiences navigating responsibilities related to environmental, social, and governance without stepping on the toes of other colleagues.

Business defense

TPRM panel: Underscoring need for first line of defense to own risk


Panelists discussing risk ownership at CW’s virtual TPRM and Oversight Summit share their experiences educating first-line leaders on their roles and responsibilities in the TPRM process.