Risk Management Compliance

News & Analysis as of

Toshiba Scandal Underscores the Importance of a Speak-Up Culture

In what’s being called the most damaging event in the company’s 140-year history, Toshiba admitted this week to overstating its operating profit by $1.22 billion during the past several years. This staggering figure and...more

Your Questions: Let’s Talk Risk - A Q&A Session about How to Achieve a Risk-based Approach to Compliance Management

Risk is at the heart of every compliance program. But that’s sometimes easier said than done. In January 2015, Kwamina Williford, Partner at Holland & Knight; Chris Caron, Compliance Director at Kiewit; and Joe LeBas of...more

Legal Issues Business Leaders Need to Know in 2015: Top 10 Checklist

A compilation of time-sensitive and trending legal and regulatory issues that general counsels and business leaders should be aware of in 2015. Employers Should be Aware of Multigenerational Workforce Risk - For...more

New Whitepaper: Reasonable Steps to Protect Trade Secrets

Every company has trade secrets (so-called “crown jewels”)– confidential business and technical information – that if exposed, could result in lost sales, competitive advantage or the ability to further innovate....more

Rolling the Dice: Casinos, FinCEN and AML Compliance

FinCEN has many important responsibilities but one of its more interesting assignments is oversight of anti-money laundering compliance by casinos (and card clubs). Casinos are under increasing scrutiny these days for lax AML...more

The State of Anti-Bribery & Corruption Programs: Key Trends and Takeaways from Recent Research Report

Kroll and Compliance Week’s 2015 Anti-Bribery and Corruption Benchmarking Report, surveyed global compliance executives and revealed that, while compliance officers are aware of the risks of anti-bribery and corruption (ABC),...more

Global Risk and Compliance: Q&A with Katherine Peavy

CREATe is delighted to announce the addition of Katherine Peavy to our team of experts. Katherine is a global compliance executive with more than 15 years’ experience in China managing multicultural teams to implement...more

OCR Enforcement Trends

On April 27, 2015, the U.S. Department of Health and Human Services (HHS) Office for Civil Rights (OCR) announced a resolution agreement with Cornell Prescription Pharmacy (CPP) pursuant to which CPP paid a $125,000...more

The Sioux at Little Bighorn and Using Risk Going Forward

I recently wrote about the stupidity of General Custer and the defeat of his Calvary at Little Bighorn as a lead in for the failure to adequately assess and then manage risks in a Foreign Corrupt Practices Act (FCPA)...more

4 Key Benefits of Compliance Technology: How to Build the Business Case for Investing in Modern Compliance Technology

Let’s face it, we live in a technological world where we expect to get more intelligent information faster than ever before. Yet compliance functions are still spending a disproportionate amount of time collecting data with...more

Healthcare Law Update

Governing boards of health care organizations can greatly benefit from reading a recently released educational document that presents practical tips for board members responsible for overseeing their organizations’ compliance...more

Anti Bribery Compliance Tactics Learned Behind Bars | 6 Ways to Protect Your Front-Line Employees from Temptation (Part 1)

If you encountered Richard Bistrong at a cocktail party, your first instinct would likely be to comment on his fashionable glasses or his experience running marathons, rather than to ask about his time in prison. As Richard...more

Our Picks for the Top 10 Ethics and Compliance Articles You Don’t Want to Miss This Month

With so many articles available every month, it’s possible that a few got buried in either your inbox or the bowels of the blogosphere. Here are ten articles you don’t want to miss...more

Custer’s Last Stand and Risk Management

On this day in 1876 one of the greatest failures in risk management took place when Lieutenant Colonel George Armstrong Custer and his entire 7th Cavalry were wiped out at the Battle of the Little Big Horn. Custer had split...more

AML Compliance Expectations Unabated—Fines, Enforcement Actions and a Deferred Prosecution Agreement Against Banks, Money...

Why it matters - Three Financial Crimes Enforcement Network (FinCEN) orders, three sets of fines and asset forfeitures, a deferred prosecution agreement and one bank enforcement action demonstrate the resolve of the...more

Compliance: It’s All About The Data – It's Time for Compliance to Mature

“The most commonly reported information includes the number of employees trained, hotline statistics and an inventory of compliance risks. This information, while important, does not necessarily help the board and senior...more

Four Compliance Metrics That Need to Die: Empty Metrics that Aren’t Worth Tracking or Reporting

I’m continuously struck by the compliance industry’s challenges around program measurement and reporting. Most recently, it was the annual Compliance Trends Survey from Compliance Week and Deloitte that delivered the bad...more

Assessing Your Approach To Compliance Risk Management: Compliance Programs Should Be Risk-Based — Here's How You Get There

Risk assessments are one of the first steps on the path to an effective risk-based compliance program, but it’s how you continue to manage and mitigate risk that truly determines if your program is successful. Kwamina...more

[Event] Evolving the Compliance Function: Leveraging Data to Lead the Convergence of Risk, Internal Audit and Ethics & Compliance...

Things are changing fast in the worlds of governance, risk management and compliance. With each day comes bigger corporate risks and the consequences of not seeing them coming. Companies are beginning to embrace “breaking...more

[Webinar] Transparency after a Compliance Failure: Managing the Risk or Maximizing the Opportunity? - June 16, 1:00 CDT

Every week we read about an organization facing the question of how to respond to a compliance or ethics mistake that has become public. Not so public are the discussions in the background: Should information be shared? If...more

8 Strategies for Compliance Risk Management: How to Fortify Your Efforts, Reduce Risk and Increase Confidence in Your Program

As a compliance practitioner, your goal is to design and oversee a program that’s comprehensive enough to mitigate risk, strong enough to address issues that occur (because they always can, and will) and robust enough to...more

Corporate Risk Ownership: When There are Multiple Teams Involved, Who Owns What?

“We have a enterprise risk management team. Where does their role end and ours begin?” That’s a common question as compliance teams mature their programs into risk-based approaches. The truth is, compliance risk...more

Asset Management Firms And The Risk Of Market Abuse: Key Practical Points From The FCA's Thematic Review Feedback And Recent FCA...

Tackling market abuse continues to be a strategic priority for the FCA. In late 2014, the FCA undertook a thematic review into asset management firms and the risk of market abuse, the results of which were published in...more

[Webinar] Mid-Sized Companies and Anti-Corruption: How to manage corruption risks with limited resources - May 28, 11:00 am EST

Instances of corruption can have a significant impact on a company’s finances and reputation. With international anti-bribery enforcement actions on the rise, it is essential for companies to implement an anti-corruption risk...more

Preventing the Worst: Stopping Obvious and Bold FCPA Violations by Executives

Last year, a number of corruption cases, both individual prosecutions and suits against companies, revolved around the behavior of senior executives. While third parties can often be the vehicle companies use to funnel bribe...more

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