Managing Whistlelbowers
Compliance Tip of the Day: Using AI to Embed Your Compliance Program
Compliance Tip of the Day: Trust and Verify
Great Woman in Compliance: Building Strategic and Effective Risk Assessments
Compliance into the Weeds: The Dark Side of AI in Employee Training
Compliance Tip of the Day: AI Assistant for Compliance
Sunday Book Review: August 17, 2025, The More Books from the Ethicsverse Library Edition
Compliance Tip of the Day: How a CFO Views Compliance and Risk
Data Driven Compliance – James Tillen on the Importance of Cross-Functional Collaboration in Complying with the FTPF Offense
What to Do When Leadership Doesn’t Take Compliance Seriously
Compliance Tip of the Day: Finance Models for Compliance
Compliance Tip of the Day - Extending Compliance Value Across Your Organization
Compliance Tip of the Day: Design - Centric Internal Controls
Adventures in Compliance: The Novels - The Valley of Fear, Sherlock Holmes’ Investigative Techniques for Today’s Challenges
Moving Beyond the Usual Helpline Data
Adventures in Compliance: The Novels - The Valley of Fear, Introduction and Compliance Lessons Learned
FCPA Compliance Report: Navigating Corporate Scandals: Insights on Governance, Compliance, and Recovery with Steve Vincze
Compliance Tip of the Day: AI and 3rd Party Risk Management
Compliance Tip of the Day: Strategies for Embedding Compliance into your Organization
Compliance Tip of the Day: Crowd Sourcing Risk Intelligence
As AI becomes embedded in enterprise workflows, legal and compliance leaders are stepping into a new role: not just managing risk but shaping data strategy for the structure, controls, and accountability needed to responsibly...more
Taking the Layered Approach - There’s a maxim in forensic accounting that investigations take twice as long as anticipated, yet the final report appears to have taken half the time. There are progressive layers in a...more
When it comes to making sure financial data is safe and meets compliance regulations, understanding the different regulatory bodies and how they affect your organization is a vital first step. Two of the most common...more
A ransomware attack is a major threat affecting all sectors of business, including healthcare. Organizations typically follow state and federal privacy laws as part of their ransomware prevention and response measures....more
Learn More About: - Recent Regulatory Changes - The Scope & Complexity of Cybersecurity Risk - Tips to Join Forces with the IT Department - - Mapping Cybersecurity Risks to Controls & Operations - IT Frameworks to...more
Federal regulators—including the Federal Reserve and the OCC—have fined Citigroup $400 million over “longstanding” failures in the areas of risk management, data governance, and internal controls. In addition to the fine, the...more
When the U.S. Department of Justice revised its Evaluation of Corporate Compliance Programs at the beginning of June, one theme was abundantly clear: the importance of data to a successful program. That shouldn’t surprise...more
The NAVEX Global Report is based on 2019 data before the pandemic occurred. Nonetheless, the insights are helpful and provide important insights that can be applied in a post-pandemic time....more
The SEC, through its Office of Compliance Inspections and Examinations (“OCIE”), recently issued its most detailed cyber guidance to date. OCIE had previously issued several cybersecurity risk alerts over the past few years....more
The Department Of Justice (DOJ) and Securities and Exchange Commission (SEC) have both made it clear that they expect companies to be more robust in their use of data analytics in compliance programs....more
Today, I want to focus on what the compliance practitioner should do to move themselves forward professionally in 2020 and beyond. I drew inspiration from the Financial Times (FT) piece, entitled “Work in the 2020s: 5...more
The merger craze keeps on keeping on, with news that Ebay’s selling secondary ticket marketplace StubHub to Viagogo, a smaller rival with a strong presence in Europe helmed by StubHub’s co-founder Eric Baker, for more than $4...more
This is likely to be a politically incorrect posting. I hope I do not offend too many people, especially those new data privacy professionals. As kids, we were always excited when an ice cream truck visited our...more
The SEC announced charges against Facebook Inc. for making misleading disclosures regarding the risk of misuse of Facebook user data. According to the SEC, for more than two years, Facebook’s public disclosures presented the...more
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
Sometimes what folks label a “new idea” is not so much of a new idea as the application of an old solution to a new discipline. I do not mean to be cryptic, but I am going to explain my point by referring to an area where I...more
Security researchers at Adversis have discovered that dozens of companies have inadvertently leaked corporate and customer data through their Box enterprise storage accounts because staff are sharing public links to their...more
This is my favorite topic. New trends come and go in the compliance field, while effective solutions and strategies slowly but surely take hold. Eventually, an effective compliance practice or strategy becomes a “best...more
Over the next few blog posts, I will be laying out why every Chief Compliance Officer (CCO) not only must have a data scientist on their team but also how to use such a talent for maxim value....more