Among all the elements of a corporate compliance program, perhaps the most difficult piece to understand is the testing and monitoring of your controls. Clearly the two are important. The U.S. Justice Department says so in...more
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...more
Sometimes questions about corporate compliance programs can be more complicated than they first seem. Such was the case when a compliance officer recently asked me, “Can you point to anything specific that says why compliance...more
Compliance officers spend lots of time these days worrying about how their own company’s use of artificial intelligence might draw the ire of regulators, but you have another dimension of AI risk to worry about, too. You need...more
The U.S. Securities and Exchange Commission recently announced that its long-awaited greenhouse gas disclosure rule will be delayed yet again, most likely until April 2024. This raises an important question for compliance and...more
12/29/2023
/ Audits ,
Climate Change ,
Compliance ,
Data Collection ,
Environmental Social & Governance (ESG) ,
Greenhouse Gas Emissions ,
Proposed Rules ,
Reporting Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Supply Chain ,
Third-Party