Compliance Tip of the Day: Why Engage in Pre-acquisition Due Diligence
Compliance Tip of the Day: Bringing Predictive Analytics into Your Compliance Regime
Compliance into the Weeds: Sanctions Compliance Failures: Lessons from Harman International and Interactive Brokers
Sanctions Compliance Failures: Lessons from Harman International and Interactive Brokers
Adventures in Compliance: The Novels – The Hound of the Baskervilles, Introduction and Compliance Lessons Learned
Compliance Tip of the Day: Assessing Internal Controls
Compliance Tip of the Day: COSO Objective 5 – Monitoring Activities
Compliance Tip of the Day: COSO Objective 2 - Risk Assessment
FCPA Compliance Report: Fraud Risk Management - Insights and Experiences with Peter Schablik
#Risk New York Speaker Series – Inside Behavioral Insights: Tom Hardin on Compliance at #RiskNYC
Compliance Tip of the Day: COSO Framework
#Risk New York Speaker Series: Exploring AI Risks in Compliance with Gwen Hassan
Healthcare Enterprise Risk Management
Compliance Tip of the Day: Assessing Internal Controls in International Operations
Managing Sanctions Compliance
Regulatory Ramblings: Episode 68 - Why Geopolitical Risk Matters to Compliance and Legal Staff with Mark Nuttal and Chad Olsen
FCPA Compliance Report: Amanda Carty on a Due Diligence and Risk Management
Episode 364 -- Five Strategies to Mitigate a New Risk Environment
Strengthening Compliance: Lessons From the OCC's Consent Order With Patriot Bank — Payments Pros – The Payments Law Podcast
Compliance and AI: Ali Khan on Implementing AI Risk Management Systems
In today's rapidly evolving business landscape, the role of the Chief Financial Officer (CFO) extends far beyond traditional financial stewardship. As organizations strive to navigate uncertainties, seize opportunities, and...more
On this episode of Culture & Compliance Chronicles, Amanda Raad and Nitish Upadhyaya from Ropes & Gray’s Insights Lab, and Richard Bistrong of Front-Line Anti-Bribery, are joined by Danny Mayhew, the global head of...more
In the world of compliance and risk management, one size does not fit all. Generic policies and procedures may seem like a convenient solution, but they can lead to compliance risks and potential harm. This is why the...more
Microsoft is one of the world’s leading technology companies. Its products and technologies are in offices, classrooms, and homes. Additionally, governments use them to help conduct vital public services. Microsoft is also...more
Operational resilience can be considered as the capability of an organization to deliver all critical business processes in the face of disrupting events. This can be particularly tricky to achieve in an ever changing and...more
Understanding and managing insider risks is not a new discipline. The manifestation of insider-related risks can be disastrous but the fact that these events are caused by people inside an organization rarely receives enough...more
Good morning, and welcome back. This is the eighth edition of OIG Shorts, a publication of Sheppard Mullin’s Organizational Integrity Group. In this series, we discuss practical approaches to creating a more effective Ethics...more
In-person is back! Join us in Amsterdam for the 2023 European Compliance & Ethics Institute! Strengthen your compliance and ethics program by attending our 11th annual European Compliance and Ethics Institute, 20-22 March...more
For regular readers of Risk & Compliance Matters, you’re surely familiar with the importance of maintaining a mature compliance program – and the benefits this has on an organization’s culture and adherence to regulatory...more
The resilience of risk and compliance (R&C) leaders over these past couple of years has been remarkable. Our profession adapted amid the massive and sudden workplace shifts brought on by COVID-19, and by most accounts,...more
It’s that time of year again – the moment when we take stock of the year that was, anticipate the one to come, and resolve to do things differently this time around. It’s a practice dating back to antiquity when early Romans...more
Compliance professionals know that COVID-19 has unleashed a host of new challenges on corporate enterprise. Fraud risk isn’t one of them. Don’t get me wrong; COVID-19 has changed how fraudsters might approach your...more
Due to the COVID-19 pandemic, our Higher Education Compliance Conference will be held virtually. Attendees will enjoy Higher Education compliance sessions and industry updates in an interactive, online experience, plus have...more
Most experts agree that whichever regulatory jurisdiction an organisation is subject to, there are five common fundamentals involved in providing effective corporate compliance....more
I have been asked by more than one frustrated California employer how to avoid or reduce employment lawsuits. It is not easy question to answer as there are many variables that go into generating employment law claims....more
Approaching organizational integrity to resolve reputational threats before and after they may occur requires accounting for corporate values, public trust, corporate stakeholders, and reputation while seeking out and...more
In this special four-part podcast series, Richard Lummis and myself consider business leadership from a different angle, that of great economic disaster. This podcast series was inspired by the Great Courses series of...more
Q&A with Tom Fox on the role of risk management in a best practices compliance program....more
In Part IV of my series on ISO 37001, I examine requirements relating to risk assessments, design of policies and procedures, and due diligence requirements. Section 4.5 sets out requirements for conducting risk...more
Today we consider the 1940’s film, The Mummy’s Hand as the second installment in Universal Pictures series featuring this creature. Boris Karloff departed the role and it was taken over for one film by Tom Tyler, who was...more