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Chief Compliance Officers Third-Party Service Provider

NAVEX

[Webinar] Trust Beyond Boundaries: Holistic Approaches to Third-Party Risk - September 14th, 9:00 am BST

NAVEX on

Third-party relationships supporting core operations are now more important than ever for most organizations. Yet too often, procurement, information security, compliance, and other professionals are overburdened with the...more

NAVEX

[Webinar] Trust Beyond Boundaries: Holistic Approaches to Third-Party Risk - September 13th, 9:00 am PT

NAVEX on

Third-party relationships supporting core operations are now more important than ever for most organizations. Yet too often, procurement, information security, compliance, and other professionals are overburdened with the...more

Reveal

[Webinar] Are Native Archiving and Data Protection Capabilities Enough for Modern Collaboration? - July 21st, 2:00 pm ET

Reveal on

As the use of Microsoft Teams has exploded, compliance officers, information governance professionals, and other risk management decision-makers must determine whether they have the right tools to secure the information that...more

Society of Corporate Compliance and Ethics...

[Webinar] Update on China and Russia: Restrictions and Best Practices - June 1st, 12:00 pm - 1:30 pm CDT

Learning Objectives: - Develop greater understanding of the main US trade restrictions on China and Russia - Gain familiarity into key compliance issues under current restrictions, including related to exports, supply...more

Society of Corporate Compliance and Ethics...

[Event] Internal Investigations Compliance Workshop - July 19th - 21st, Lake Buena Vista, FL

Get the training you need to conduct internal investigations - The SCCE Internal Investigations Workshop provides two days of focused training on conducting compliance-related internal investigations. Attendees also have...more

Spirit Legal

[Webinar] US Privacy Laws for German Businesses - June 30th, 3:30 pm CET

Spirit Legal on

First we take Sacramento, then we take Berlin: How do US data protection laws affect how you do business. The webinar is aimed at in-house or outside counsel, as well as data protection and compliance officers. In this...more

Thomas Fox - Compliance Evangelist

The Memoirs of Sherlock Holmes – The Yellow Face and Managing Third Parties

This week, we return to Sherlock Holmes-themed blog posts. We finished the review of The Adventures of Sherlock Holmes and now move on to The Memoirs of Sherlock Holmes. We began the adventure by considering one of the...more

WilmerHale

DOJ Issues Updated Guidance on Evaluation of Corporate Compliance Programs

WilmerHale on

On April 30, 2019, the Assistant Attorney General for the Criminal Division, Brian A. Benczkowski, announced an update to the Department of Justice’s (“DOJ”) 2017 guidance document entitled Evaluation of Corporate Compliance...more

Alston & Bird

NYDFS Cybersecurity Regulations Nearly Fully Effective

Alston & Bird on

The February 15, 2019 NYDFS compliance certification deadline represents the last annual compliance certification subject to the transition period for covered entities to come into compliance with the cybersecurity...more

K&L Gates LLP

SEC Proposes New BCP Rule and Issues Guidance

K&L Gates LLP on

On June 28, 2016, the Securities and Exchange Commission (the “SEC”) released a proposed rule (the “Proposed Rule”) that would require registered investment advisers (“RIAs”) to adopt written business continuity and...more

Eversheds Sutherland (US) LLP

SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies

On June 27, the staff of the Securities and Exchange Commission’s (Commission or SEC) Division of Investment Management (IM) issued a Guidance Update on business continuity planning for registered investment companies...more

The Volkov Law Group

Focusing on Due Diligence (Part II of IV)

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He that can have patience can have what he will. – Benjamin Franklin Putting together an effective due diligence system requires patience. I freely admit that I am not a patient person, especially when it comes to...more

Thomas Fox - Compliance Evangelist

FCPA Compliance and Ethics Report-Episode 157-Training of Third Parties Under the FCPA

In this episode I discuss the training of third parties under the FCPA. I review the DOJ/SEC FCPA Guidance on this issue; the risk ranking of third parties to help deliver your training; the types of training you can utilize...more

The Volkov Law Group

Questioning Due Diligence Questionnaires — Keeping It Simple

The Volkov Law Group on

Third Party questionnaires are a standard part of any due diligence process. They are emailed to the potential third-party business partner, filled out and sent back, or the third-party enters the information through an...more

The Volkov Law Group

Reinventing Compliance Program Metrics

The Volkov Law Group on

One of many pet peeves I have in the compliance space is the lack of creativity in compliance program measurement. Chief Compliance Officers have to take a fresh approach to this issue....more

Thomas Fox - Compliance Evangelist

Managing Your Third Parties in a FCPA Compliance Program

The building blocks of any Foreign Corrupt Practices Act (FCPA) anti-corruption compliance program lay the foundations for a best practices compliance program. For instance in the lifecycle management of third parties, most...more

Williams Mullen

Managing Risks in Vendor Relationships

Williams Mullen on

For years, banks have relied on third party vendors to provide specialized products or services, or have used outsourcing as a way to reduce internal operating costs. In the wake of the financial crisis, however, regulators...more

NAVEX

Making the Case for Compliance Training for Third Parties

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How to make the case for implementing third party compliance training in your organization. A recent article in the San Francisco Chronicle profiled Jay Jorgensen, the new Global Chief of Compliance at Walmart. The...more

Foley Hoag LLP

Federal Acquisition Regulation: Amendments to Strengthen Prohibitions Against Trafficking

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On January 29, 2015, the U.S. Government released a final rule amending the Federal Acquisition Regulation (“FAR”). The final rule reflects changes to proposed amendments originally released in September 2013. The...more

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