Steps Your Nonprofit Can Take to Mitigate Fraud Risks - Part 2
A Third Party's Perspective on Third Party Risk
Why Time Matters: Partners Lindsay Gerdes and Michael J. Bronson on Swift Action in Government Investigations
Consumer Finance Monitor Podcast Episode: Why do Fintechs Want to Become Banks?
Privacy Issues from Third-Party Website Tags
What's the Tea in L&E? Employee Devices: What is #NSFW?
Episode 331- NAVEX State of Risk and Compliance Programs
What the Board Should Be Asking About the Compliance Program
Video: Artificial Intelligence Use in Political Campaigns
Episode 329 -- Bryn Sedlacek from Aravo on TPRM Holistic Risks and Unified Visibility
Compliance Lessons from Dating in Your 50s
The Justice Insiders Podcast - AI-Washing: Everything Old Is New Again
The AI Shakeup: New Tech Innovations and the Future of Corporate Law
Principled Podcast: S11E7 | Fortifying Ethical Frameworks: Navigating Emerging Risks in the Middle East
Managing Compliance Risk for Human Trafficking and Modern Slavery
Common Scenarios Triggering False Claims Act Violations, Part 3: Claims and Investigations
Navigating Bank-Fintech Partnerships: Avoiding Common Pitfalls — The Consumer Finance Podcast
Episode 326 -- Dottie Schindlinger on Diligent's Report on Board Oversight of Cybersecurity Risks and Performance
Revisiting Financial Institution Incentive Compensation Rules Under Dodd-Frank — The Consumer Finance Podcast
Episode 325 -- AI and Emerging Compliance Frameworks
Last month, I wrote a blog post on the tone at the top, exemplified in Star Trek’s Original Series episode, Devil in the Dark. Based on the response, some passionate Star Trek fans are out there. I decided to write a series...more
Empower your team and champion ethics with free resources, benchmarks and a global workshop - Protect your company Learn how to empower employees to speak up and safeguard your organization from risk. - Empower your...more
Get focused insights on compliance management for nonprofits - From fraud and conflict of interest to tax exemption, fundraising, and data security, nonprofit organizations are faced with significant compliance issues,...more
Optimize your compliance program with a “speak up” workplace culture - Building an organizational culture that encourages employee reporting is key to compliance program success. When employees are comfortable voicing...more
The compliance and whistleblowing scene is heating up! With more employees speaking up, benchmarking your hotline and incident management data is critical to staying ahead of risks and fostering a resilient, compliant...more
The auditing and monitoring process is critical to a compliance program’s success, in that it provides ongoing assessment of processes, procedures, and potential escalation of risk. Designed as an intermediate-level learning...more
Learn the keys to effective compliance auditing and monitoring - The auditing and monitoring process is critical to a compliance program’s success, in that it provides ongoing assessment of processes, procedures, and...more
The U.S. Department of Justice, Criminal Division, updated its Evaluation of Corporate Compliance Program in March 2023, with renewed expectations for companies to use data analytics and testing. However, the government...more
Welcome back to the 9th edition of OIG Shorts, a publication of the Sheppard Mullin Organization Integrity Group (OIG). This post discusses the importance of a targeted, multi-layered compliance program focused at individual...more
Among the most critical developments companies and their counsel should understand in 2023 is that federal officials will now scrutinize the overall state of your compliance program when they consider potential criminal...more
The 2023 Report on FINRA’s Examination and Risk Monitoring Program was published on Jan. 10, 2023. In a statement accompanying the Report, Greg Ruppert, executive vice president of FINRA’s Member Supervision organization,...more
In many organizations, the second and third lines of defense struggle to work as a team—either unintentionally or under the false notion that independence standards require complete separation. In these situations, compliance...more
Hospitals, like all healthcare organizations, are subject to numerous state and federal laws, rules, and regulations. But, unlike other healthcare organizations, hospitals often face enhanced scrutiny from state and federal...more
Expanded Japanese whistleblowing rules are among the latest to come into effect as part of a broad trend of increasing regulatory requirements for incident reporting across the globe. Previously in effect for large...more
For regular readers of Risk & Compliance Matters, you’re surely familiar with the importance of maintaining a mature compliance program – and the benefits this has on an organization’s culture and adherence to regulatory...more
In this series, for the first time ever, you will hear the NAVEX philosophy and best practices directly from our executive team, alongside solution experts who will demo the NAVEX One platform in action. Join to learn how to...more
Una Dean sits down for an exclusive video interview for ACI Insights with Rebecca Hughes Parker, Editor-in-Chris of Anti-Corruption Report. Una speaks about the compliance challenges in today’s environment including,...more
By 17 December 2021, the EU Member States had to transpose the EU Whistleblower Protection Directive into national law. The purpose of the directive is to provide stronger protection across EU countries for people wanting to...more
In 1969, the computer systems company Information Concepts Incorporated transformed the world of baseball with their creation of “The Baseball Encyclopedia.” The book (affectionately nicknamed “Big Mac” in homage to both its...more
Explore strategies for fostering a culture of compliance in your organization - Fostering a culture of ethics and compliance is critical for long-term success and reducing the risk of expensive, distracting failures. But...more
In many ways, the COVID-19 pandemic has served as a prime example of punctuated equilibrium. Shifts that have been slowly building for decades seemingly occurred overnight, giving us the contradictory sense that these changes...more
Our Virtual Regional Compliance Conferences provide updates on the latest news in regulatory requirements, compliance enforcement, and strategies to develop effective compliance programs. Watch, listen, and ask questions from...more
By the summer of 2021, compliance officers had spent nearly a year and a half helping their organizations navigate the challenges of COVID-19, as well as the new or heightened risks associated with remote work and enhanced...more
Successful organizations understand people are their greatest asset. But they can also pose a significant liability to the business. Adding a human element into any situation poses somewhat of a wild card – Decisions are...more
Cataloguing everything your compliance program does isn’t easy, but Susan Roberts, who recently retired from full-time corporate life after serving as Chief Compliance Officer at three different companies, did just that. And...more