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Strategic Planning Internal Controls

Epiq

Data and Responsible AI Adoption

Epiq on

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

J.S. Held

Forensic Accounting & Financial Investigations: The Layered Approach

J.S. Held on

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

Morgan Lewis

SEC Releases Draft Strategic Plan for Fiscal Years 2022 to 2026

Morgan Lewis on

The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years 2022 to 2026 for public comment. The Strategic Plan sets forth the following three key goals for the Securities and...more

Jones Day

DOJ Updates Its "Evaluation of Corporate Compliance Programs" Guidance

Jones Day on

The Situation: The Department of Justice ("DOJ") has updated its "Evaluation of Corporate Compliance Programs" guidance for prosecutors. The Result: The updates provide additional insights into the factors the DOJ is...more

Thomas Fox - Compliance Evangelist

Continuous Improvement in a Compliance Program

Today, I consider what techniques you, as Chief Compliance Officer (CCO), can use to create continuous improvement in your compliance program. ...more

Troutman Pepper Locke

Managing Your Next Examination - You Got This

Troutman Pepper Locke on

Bank examinations, holding company inspections and other “supervisory events” can be a source of anxiety and dread for those who work in the banking industry. Originally published in ABA Bank Compliance - March/April 2020....more

Thomas Fox - Compliance Evangelist

Compliance Strategies Going Forward

What are the compliance strategies which can employed with the most effect by compliance professionals? This week, in a podcast series on the Compliance Podcast Network, sponsored by Affiliated Monitors, Inc. (AMI), I explore...more

Thomas Fox - Compliance Evangelist

Forward Thinking in Compliance

Some of the most interesting innovations in compliance come from folks who do not have a background in either compliance or legal training. I have found it is because their perspective is so different that they spot things...more

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