News & Analysis as of

Due Diligence Compliance Business Continuity Plans

Mitratech Holdings, Inc

After the Microsoft Outage: The Lingering Impact and Global Outlook on Business Continuity Planning (BCP)

In the aftermath of what could be one of the most widespread global information technology outages in history, organizations are putting a renewed focus on combating old vulnerabilities that can have cascading effects. ...more

Reveal

How to Conduct Compliance Risk Assessment Efficiently (+Compliance Risk Assessment Template)

Reveal on

Is your business in compliance with every law, rule, and regulation that it should be? If you can’t confidently say yes, it’s time for a compliance risk assessment. And even if you could confidently say yes six months ago,...more

BCLP

Supervision of Vendors When Outsourcing - The Buck Stops with FINRA Member Firms

BCLP on

Key Takeaways: ..On August 13, 2021, FINRA issued Regulatory Notice 21-29 (“RN 21-29”) to remind member firms that they must establish and maintain an adequate supervisory system, including written supervisory procedures...more

Thomas Fox - Compliance Evangelist

Day 17 of One Month to More Effective Continuous Improvement-Financial Health Monitoring

Continuous improvement can take many ways, shapes and forms. Typically, when it comes to third-party risks, a Chief Compliance Officer (CCO) or compliance professional will consider the ownership structure to see if there is...more

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