All Internal Controls articles – Page 26
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EventCoronavirus has made CW2020 a (virtual) gathering like no other
The coronavirus pandemic has made getting together for our annual National Conference impossible, but it’s also made this virtual gathering (Monday and Tuesday) perhaps the most important one we’ve ever had.
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ArticleWhy compliance culture must lead in return from coronavirus
Is managing our return to the workplace a job for the compliance department? The better question may be how can we get all employees to serve the wider compliance effort, writes Martin Woods.
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ArticleLuckin Coffee fires CEO, COO over accounting scandal
Luckin Coffee, the China-based equivalent of Starbucks roiled by allegations of fabricating millions in 2019 sales, has fired its CEO and reshuffled top leadership as part of its ongoing internal probe.
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ArticleAnalysis: Oil collapse leaves Singapore traders scrambling
Recent fraud complaints at oil traders in Singapore highlight the risks in the international business of commodity finance, where high prices provide high rewards and low prices can leave lenders exposed.
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ArticleCoronavirus fallout: Four ways to manage fraud risk
The spread of the coronavirus has elevated the visibility of fraud for the general public and exposed to senior management in firms the seriousness of the consequences of underestimating the threat.
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ArticleVP’s abrupt exit paints Amazon as coronavirus villain
Saying there is “evidence of a vein of toxicity” running through Amazon’s company culture, a now-former VP is the most prominent voice to speak out against the tech behemoth’s actions during the coronavirus pandemic.
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ArticleLesson from Westpac: If you can’t do the simple things correctly, watch out
If a bank or a firm cannot execute on the simple things, such as cash transaction reporting, there is little reason to be confident of compliance in other more complex and challenging areas.
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ArticleThe seven worst compliance fails of the coronavirus pandemic
Compliance and ethics fails during the coronavirus pandemic have done more than hurt companies’ images. They’ve cost lives.
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ArticlePwC guidance: Navigating audit committee responsibilities amid the coronavirus pandemic
Internal auditors will want to check out a recent publication from PwC on how to navigate core audit committee responsibilities amid the coronavirus pandemic.
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ArticleM&A due diligence landscape forever altered by coronavirus pandemic
The coronavirus pandemic has affected both the risk landscape and the diligence protocols for merger and acquisition transactions at every stage of the game. But while deal terms may be negotiable, what should be non-negotiable is the compliance function’s role in M&A transactions.
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ArticleSix steps to emerging from coronavirus with a strengthened compliance program
One day—maybe in the not-too-distant future—we will emerge from the coronavirus pandemic to some semblance of normalcy, a “normal” likely different from the one we left a few months ago. How do we best prepare for this next chapter?
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ArticleFive tips when moving from the second line of defense to the first
The Three Lines of Defense model is an important one for managing risks within a business. For someone working in the second line to find themselves moving on to the first line can be a daunting experience.
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ArticleBest practices for maintaining a healthy incident-response program
NAVEX Global’s annual “Risk & Compliance Hotline Benchmark Report” provides chief ethics and compliance officers with best practices on how the performance of their hotline and incident-management programs stack up against their peers.
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ResourceMicrolearning: The New Standard for Compliance Programs
Traditional compliance training methods are no longer effective at reaching today’s employees. As a compliance professional, you need new methods to ensure employees engage with and retain your compliance communications.
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ArticleAnalysis: A case study on why following steps on ABC compliance is so important
If there is an A-Z compliance procedure to follow, don’t stop at X or miss out LMN. Adhere to the procedure and preserve the integrity of your firm and those honest people who work within the rules.
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ArticlePreparing for post-pandemic turbulence, Boeing combines legal, compliance
Boeing announced several leadership and organizational changes, to take effect May 1, as the airline industry braces for post-pandemic turbulence.
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ArticlePreparing for the compliance caveats that accompany CARES Act, PPP
Regardless of the government relief program, companies that are able to provide clear, thorough, and timely compliance data and documentation will put themselves in the best position to secure the relief they need.
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ArticleBack against wall, Libra turns to compliance
Looking to get back on track for its planned 2020 release, Libra is pushing a new word at the forefront of its latest attempt to get critics on board with its digital currency mission: compliance.
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Old Ironsides to pay $1M for compliance failures
Old Ironsides Energy will pay a $1 million penalty to settle SEC charges for failing to implement its own compliance policies and procedures regarding the distribution of misleading marketing materials.
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ArticleEni to pay $24.5M to resolve FCPA charges
Italian oil company Eni will pay $24.5 million to settle SEC charges that it violated the Foreign Corrupt Practices Act with regard to the award of certain contracts to its former subsidiary Saipem in Algeria.