Consistent with the Trump administration’s shifting enforcement priorities, both the Department of Justice (DOJ) and the Commodity Futures Trading Commission (CFTC) announced they will be significantly scaling back on…
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/ Administrative Law, Consumer Protection, Securities Law
Technology vendors everywhere want to serve big Wall Street banks, so when one of those banks talks about risks they see in their software supply chain, compliance and audit professionals should listen – which brings us to an…
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/ Finance & Banking, Privacy, Science, Computers, & Technology
In a landmark move, HM Revenue & Customs (HMRC) has announced plans to launch a formal whistleblower award program modelled on the highly successful U.S. Internal Revenue Service (IRS) Whistleblower Program. This initiative…
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/ Administrative Law, Finance & Banking, Taxation
In our continuing quest to improve how companies manage risk, it’s inevitable we’d eventually discuss the “Three Lines of Defense,” a risk management model for clarifying roles and responsibilities. It explains the relationship…
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/ Business Organizations, Science, Computers, & Technology
On February 10, 2025, President Trump issued an executive order pausing federal enforcement over the U.S. Foreign Corrupt Practices Act by ordering the U.S. Attorney General to “cease initiation of any new FCPA investigations…
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/ Consumer Protection, Criminal Law, International Law & Trade
Compliance officers know that internal reports are the fuel upon which your compliance program runs – the more reports you receive, the better you understand the compliance issues within your organization and the faster you can…
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/ Administrative Law, Business Organizations, Labor & Employment Law
Artificial intelligence keeps improving at all sorts of things – including how to challenge corporate ethics and compliance programs. Even while you may still be struggling to tame the risks of generative AI, its more powerful…
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/ Commercial Law & Contracts, Privacy, Science, Computers, & Technology
Among the many crucial elements of effective compliance initiatives (internal reporting programs, policies, procedures, training, supply chain management, M&A, and more) are risk assessments – the intended foundational element…
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/ Administrative Law, Business Organizations, International Law & Trade
2024 was a year of numerous and notable cybersecurity failures – although, to be fair, most years are now marred by numerous and notable cybersecurity failures. That’s no longer anything special. What makes 2024 interesting is…
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/ Business Organizations, Commercial Law & Contracts, Science, Computers, & Technology
For many years, corporate compliance officers have followed a certain natural process. First, regulators adopt a new rule, then you decipher how the arrival of that new rule might require changes to your policies, procedures and…
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/ Administrative Law, Business Organizations, International Law & Trade
The other day, I attended a panel discussion of compliance officers talking about how corporate compliance might change with the arrival of the Trump Administration. Except, we never got around to that discussion – we were too…
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/ Business Organizations
In today’s increasingly polarized world, the workplace is not immune to the tensions arising from divergent political, social and cultural views. This is particularly evident in discussions surrounding diversity, equity and…
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/ Business Organizations, Labor & Employment Law
New DOJ whistleblower incentives. Investigation-related KPIs. Accountability demands from stakeholders of all stripes. A combination of hard work by ethics and compliance professionals, high profile internal system failures,…
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/ Business Organizations
In today’s polarized and politically charged climate, few topics spark as much debate as ESG. Once a niche concern limited to green investors and idealistic board members, ESG has evolved into a mainstream business priority…
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/ Business Organizations, Environmental Law, Securities Law
In today’s evolving regulatory environment, healthcare organizations face unique compliance challenges. Join NAVEX and Granite GRC to explore how strategic risk assessments can help streamline processes, reduce vulnerabilities,…
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/ Health
