News & Analysis as of

Employee Monitoring Compliance Risk Management

Mitratech Holdings, Inc

From Hire to Retire: The Role of Background Checks Throughout the Employee Lifecycle

Explore how background checks play a crucial role throughout the entire employee lifecycle, from hiring to retirement. Learn how they mitigate risk, ensure compliance, and build a trustworthy workplace....more

WilmerHale

Why Depository Institutions, with or Without Affiliated Securities Firms, can and should Manage Employee Use of Personal Devices...

WilmerHale on

The purpose of this paper is to show how the failure to monitor for and prevent off-channel communications poses risk to traditional depository institutions that are not subject to the jurisdiction of securities-law...more

Hogan Lovells

[Webinar] Controlling your risk and regulatory obligations with a hybrid workforce – is that even possible? - May 12th, 11:00 am -...

Hogan Lovells on

Hybrid working maybe the new norm in 2022 but the FCA is keeping a watchful eye on how firms continue to meet their regulatory responsibilities and effectively control the risks. With the regulator reviewing a firm's remote...more

The Volkov Law Group

Corporate Board Strategies for Monitoring and Promoting a Company’s Ethical Culture (Part III of III)

The Volkov Law Group on

Corporate boards all want to believe that their companies maintain an ethical culture.  Each board members knows the right words, platitudes and buzz words to use.  No one can fault them there.  But like every issue in life,...more

The Volkov Law Group

Bringing the Board to the Ethical Culture Table (Part II of III)

The Volkov Law Group on

I guarantee you if you ask your corporate board to define “ethical culture” and “compliance,” and their actual day-to-day responsibilities in this area, you will quickly realize most board members have no clue. ...more

Thomas Fox - Compliance Evangelist

Farewell to Ross Perot and Ongoing Monitoring

One of America’s most unique personalities died, as Texan Ross Perot passed away this week. According to his New York Times (NYT) obituary, “He was no quitter: an Eagle Scout, a Navy officer out of Annapolis, a top I.B.M....more

Thomas Fox - Compliance Evangelist

Hallmark 9 – Continuous Improvement: Periodic Testing and Review

You should keep track of external and internal events which may cause change to business process, policies and procedures. Some examples are new laws applicable to your business organization and internal events which drive...more

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