Articles | Compliance Week – Page 301
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Roundtable Biographies - 07/23/14
On July 23, Compliance Week and SAI Global presented an editorial roundtable at the Ritz-Carlton Hotel in Chicago. The focus of the roundtable, which was moderated by Compliance Week Executive Editor Joseph McCafferty, was on strengthening tone from the middle. Attendees’ full biographies are below.Carole BovardVP of ComplianceThe Options Clearing ...
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How to Handle a Multi-Jurisdictional Investigation
As global regulators collaborate more on corruption investigations and new countries pass laws and strengthen enforcement of anti-bribery laws, multi-jurisdiction investigations are becoming more common. That means navigating several sets of rules—both formal and informal—and tailoring the discovery process to the scope of the investigation in any one jurisdiction. “Don’t ...
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Have Great Anti-Bribery Measures in Place? Prove It
The list of companies facing charges from the Securities and Exchange Commission and the Department of Justice over violations of the Foreign Corrupt Practices Act continues to grow. Many of the more recent additions to that list, however, thought they had rock solid anti-bribery compliance programs in place.So why are ...
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Policy Engagement Starts With Policy Writing
Policy engagement: There is a lot to be said for how technology can make policies easier to find, social, and interactive. In fact, I have been on my soapbox proclaiming next-generation policy and training management for the past decade in which organizations deploy a portal that brings together policies, training, ...
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Buying Time on COSO’s Internal Control Framework Update.
With no explicit regulatory mandate to adopt the recently revised internal control framework by the end of 2014, companies sweating the sunset of the old framework are starting to ask: “Can we take another year to work on this?”Ever so cautiously, auditors are starting to say: “Sure. Just disclose it.”“People ...