Testing Your Compliance Program
Regulatory vs. Business Compliance
Grupo Empresarial y Control … ¿a qué te cojo ratón?
Episode 344 -- SEC Settles FCPA Case with Moog for $1.7 Million
Episode 342 -- How to Conduct an Internal Compliance Site Visit and Review
Enhancing Compliance: The Power of Independent Monitorships in Consumer Protection — Regulatory Oversight Podcast
Episode 331- NAVEX State of Risk and Compliance Programs
What the Board Should Be Asking About the Compliance Program
Common Scenarios Triggering False Claims Act Violations, Part 3: Claims and Investigations
Compliance into the Weeds: Of Fat Fingers, Internal Controls and Compliance
Vicky Hanks of Blake Morgan on Building an Effective Employee Brand - Passle's CMO Series Podcast
Better Investigative Interviewing
Hot Topics in International Trade
Episode 301 -- Steve Naughton on Compliance and Complaince Education at Loyola Law School Program
Episode 298 -- Electronics Communications Risks and Ephemeral Messaging
Episode 297 -- Susan Divers on LRN's 2023 Program Effectiveness Report
The Justice Insiders Podcast: SEC Plays Chicken with Jarkesy
JONES DAY TALKS®: The Evolution of Corporate Compliance Programs: Key Issues for Multinational Companies
Compliance & Disaster Preparedness
Compliance Series Part 3: Ensuring Compliance Programs are Effective
For multinational corporations looking to establish a presence in Asia, the creation of regional offices in locations such as Hong Kong or mainland China can be a strategic move. Setting up these so-called ‘satellite offices’...more
Fraud is a pervasive and costly issue that can affect all types of organizations, including nonprofits. Nonprofit organizations are especially vulnerable due to limited resources, less staff resources, and, in many cases,...more
In an era of stringent regulations and increasing legal risks, it has become essential for organizations to implement internal enforcement programs. However, in order for such programs to provide legal protection, they must...more
The Failure to Prevent Fraud (FTPF) offence will officially come into force as part of the Economic Crime and Corporate Transparency Act in September 2025. In a previous article, we explored the government’s guidance around...more
So, just before Easter, in 1957, a little book you may have heard of, called The Cat in the Hat, made its first appearance. Theodore Geisel — writing under the name “Dr. Suess” — later said that of all his children’s books,...more
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...more
As AI continues to transform financial services, organizations must establish strong governance frameworks to manage risks while fostering innovation. AI is transforming every function—Legal, Compliance, Finance, IT,...more
Drawing on insights from our interactions with audit committees and business leaders, the KPMG Board Leadership Center highlights nine issues for the audit committee to consider for the year ahead....more
Investment advisers and others involved in the implementation of the new IA AML mandate have been alert to potential ramifications to the rule due to the upcoming change in administration. Upon review, K2 Integrity and...more
Do you ever ask yourself, “What kind of compliance officer am I?” Netherlands-based Susan du Becker, Director, Risk & Compliance at Microsoft, thinks we all should. To her experience, there are two answers to that question. ...more
A phone call comes in from a panicked client, the owner of a small, successful business. Your client was reviewing some financial records – a task usually handled by a long–time and trusted employee – and the client noticed a...more
How can companies ensure that their compliance programs are robust enough to handle today’s complex ethical challenges? In this episode, Michael Volkov dives into the critical components of conducting an internal compliance...more
This week, leading up to Halloween, I will examine lessons for compliance professionals through the lens of the great Universal Movie Monsters: Frankenstein, Wolfman, Dracula, and The Mummy. Today, we consider what compliance...more
Last month, the U.S. Department of Justice’s (“DOJ”) Criminal Division announced its periodical update to its Evaluation of Corporate Compliance Programs (“ECCP”), zeroing in on how companies manage risk related to artificial...more
In recent years, the virtual asset industry has experienced exponential growth, bringing about innovations in digital payments, tokenisation and decentralised finance (Defi). While highly innovative, the volatile nature of...more
The use of forced labor, child labor, or modern slavery practices (collectively “forced labor”) in supply chains is not a new problem in the international trade world; however, many companies remain unaware of forced labor...more
NAVEX delivers quality studies and important insights on ethics and compliance topics. In its 2024 State of Risk & Compliance, NAVEX provides a comprehensive report on current trends and practices involving risk and...more
"What else should the board be asking about the compliance group?” It’s a good question in general and the tile of a session at the SCCE Compliance & Ethics Institute, which will be held September 22-25, 2024 in Grapevine,...more
The dynamic world of compliance is continually evolving. New regulations, emerging technologies, and changing market conditions demand that organizations remain vigilant and proactive in their compliance efforts. One crucial...more
Integrating artificial intelligence (AI) into internal controls is pivotal in the ever-evolving corporate governance landscape. We have closely followed the discussion around this emerging trend and the insights from industry...more
A recent issue of SCCE’s Corporate Compliance Weekly News contained a link to a startling report I was not previously familiar with. An investigation by the U.S. Coast Guard found numerous instances of sexual assault spanning...more
To what extent are boards and senior executives in your country of focus taking proactive steps to reduce incidences of fraud and corruption from surfacing within their company? Over the past several years, there has been...more
Achieve your ESG goals in 2024 - Environment, Social, and Governance (ESG) is a top priority for organizations of all types and sizes, and it the compliance team is a key factor in the ESG equation. Much like regulatory...more
Whether you’ve noticed it through the media or in your own circle of friends, it’s no secret that the consumption of alcohol has been losing its popularity, and the idea of being sober or “sober curious” is trendy. Of course,...more
In the United Kingdom's corporate governance, a development recently emerged with the introduction of the UK Corporate Governance Code and its accompanying Guidance. This change aims to provide more transparent, accessible...more