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Automation Systems Policies and Procedures Compliance

Society of Corporate Compliance and Ethics...

Creating an AI governance function: Part 2

This is Part 2 of a two-part series. Part 1 addressed the risks and restrictions organizations face in deploying artificial intelligence (AI) and the key elements of an AI strategy. This part details how to develop an AI...more

K2 Integrity

SEC Division of Examination Risk Alert Highlights Deficiencies in Broker-Dealers’ AML Compliance Programs

K2 Integrity on

The U.S. Securities and Exchange Commission (SEC) is responsible for protecting investors and ensuring the integrity of the securities markets. As part of this mission, the SEC requires broker-dealers to comply with...more

Mitratech Holdings, Inc

Why Digitize a Manual HR process? (& how to do it!)

See why and how some of today’s top HR departments are upgrading manual processes via digital transformation. As the battle for talent rages on amid the great resignation and regulations shift beneath our feet, Human...more

NAVEX

Compliance Solutions: What Regulators Expect – and How to Prepare

NAVEX on

The 2020 Update to the US Department of Justice’s Evaluation of Corporate Compliance Programs outlines best practices for risk and compliance professionals on a wide variety of topics, including program design, measures, and...more

The Volkov Law Group

Compliance and Technology

The Volkov Law Group on

We need to start giving compliance a better foundation of basic knowledge, strategies and practical approaches. The compliance profession can adopt common solutions to problems for different companies....more

Mitratech Holdings, Inc

How Technology Helps Build an Effective Compliance Program

The Federal Sentencing Guidelines for Organizations (FSGO) pioneered the seven hallmarks to define what an effective compliance program should look like. ...more

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