eDiscovery and Compliance Programs
ERGs: Valuable or Vulnerable?
Managing Whistlelbowers
Data Driven Compliance: The Failure to Prevent Fraud Offense: Insights for US General Counsels with Mike DeBernardis
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
Innovation in Compliance: Gaurav Kapoor on Risk Management and the Role of AI in GRC
How to Balance Diverse Views in the Office
Compliance Tip of the Day: Costs and Benefits of AI
Adventure in Compliance: The Novels - The Valley of Fear, Whistleblowers and Corporate 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
We get Privacy for work — Episode 7: What Is a WISP and Why Your Organization Must Have One
Great Women in Compliance: The Mind at Work with Lynette Buebird
Compliance Tip of the Day: Finance Models for Compliance
Compliance Tip of the Day - Extending Compliance Value Across Your Organization
All buzzwords aside — how is your risk and compliance technology really performing? Join us for a focused virtual event where experts will share tips for simplifying processes while maturing GRC programs, aligning...more
The federal government is the biggest purchaser in America and that extends to the SaaS space. On September 24, 2024, the Office of Management and Budget (OMB) released Memorandum M-24-18, offering updated guidelines for the...more
SCCE’s four-day Compliance & Ethics Essentials Workshop provides comprehensive education on the core elements of a compliance program. The curriculum is ideal for those new to or with little experience in compliance, as well...more
In our last newsletter, we discussed due diligence as it relates to selection of vendors. The second part of that exercise is to negotiate your agreement with the vendor to properly manage any risks you identified. In this...more
SCCE’s Compliance & Ethics Essentials Workshop provides a comprehensive introduction to the elements of a compliance program to enable attendees to be a more effective member of the compliance team. The workshop is ideal for...more
[author: Matt Kelly] In September 2020 the National Institute of Standards and Technology (NIST) unveiled the fifth version of its cybersecurity standard formally known as SP 800-53, “Security and Privacy Controls for...more
In today’s business landscape, it is nearly impossible to work alone. You have to collaborate with clients, vendors, suppliers, specialists, and plenty of other partners all considered third parties to your organization. As a...more
At the end of January, the U.S. Securities and Exchange’s Office of Compliance Inspections and Examinations (OCIE) released its “Observations on Cybersecurity and Resiliency Practices” (Observations)....more
Background - On January 27, 2020, the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations ("OCIE") published its Cybersecurity and Resiliency Observations. Cybersecurity and data...more
On January 27, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its most recent Cybersecurity and Resiliency Observations. This report highlights specific practices that have been, and can be...more
Dive into a broad spectrum of topics affecting healthcare organizations. Explore the latest laws, regulations, and developments to help you effectively manage your organization’s privacy compliance program. Our Academies are...more
Regulations regarding privacy, cybersecurity and the use of technology seem to be in constant flux. Compliance consultants and vendors do their best to stay on top of them, but ultimately neither are regulated by the SEC,...more
• On May 23, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert describing its observations in past examinations of weaknesses and best practices...more
On May 23, 2019, the United States Securities and Exchange Commission (“SEC”)’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert entitled “Safeguarding Customer Records and Information in Network...more
In 2019, cybersecurity has become top-of-mind for most federal government contractors and agencies that share sensitive information. In addition to updated Department of Defense guidance and procedures for evaluating...more
• The SEC released a Risk Alert summarizing key areas in which it continues to see compliance deficiencies related to Regulation S-P, the primary SEC rule regarding privacy notices and safeguard policies of investment...more
For the fourth year running, the Securities and Exchange Commission’s Office continues to list cybersecurity as one of the top enforcement priorities for 2019. As it relates to cybersecurity, the SEC will be focusing on...more
This client alert will briefly outline key upcoming deadlines under the New York State Department of Financial Services (DFS) Cybersecurity Regulation (the “Regulation”). These include annual filing deadlines coming up in...more
On October 16, 2018, the SEC issued a 21(a) report announcing that it had investigated whether certain public companies that were victims of oftentimes unsophisticated, cyber-related frauds had violated federal securities...more
With California enacting a sweeping new data privacy law on June 28, now is the time for companies to review and adjust to how the California Consumer Privacy Act will impact their business. The act, which has broad...more
Almost all parties are required to exchange personal data as part of a merger and acquisition transaction. With data breaches on the rise, any buyer in a M&A transaction cannot afford to ignore privacy and data security...more