All Internal Controls articles – Page 32
-
ResourceWhite paper: Internal Controls Over Financial Reporting Considerations for Developing and Implementing Bots
Companies are rapidly digitalizing parts of their business through robotic process automation (RPA). RPA uses computer-coded, rules-based software robots (i.e., bots) to automate certain human tasks.
-
PremiumCounterpoint: CCO, GC independence is critical
Matt Stankiewicz of The Volkov Law Group discusses the importance of having compliance and legal remain separate functions.
-
PremiumPoint: Why CCOs should report to GC
Attorney Jeff Kaplan offers five cons to keeping the chief ethics and compliance officer role separate from general counsel.
-
Premium‘Inside the Mind’ is our data-driven ode to CCOs
We’re celebrating “Compliance Officer Day” by releasing our first annual “Inside the Mind of the CCO” special report, which is aimed at, among other things, figuring out what motivates and challenges today’s chief compliance officers.
-
PremiumCCO compensation data reveals big strides for women
Bucking the trend: Survey shows women more likely to hold top compliance roles, have a law degree, and make a bit more money than men.
-
PremiumHiring manager: CCOs are in demand, seeing salary bumps
A managing director at an executive search firm that specializes in compliance hires has some advice—and a bit of good news—if you’re looking for a job as a CCO.
-
ResourceWhite paper: Transform your Compliance and Ethics Training with Integrity
Your annual compliance and ethics training is the flagship communication to your global workforce; the effectiveness of your training has far reaching, significant impacts for your organization.
-
ResourceWhite paper: 2019 CCO Playbook
Understanding the regulatory environment, both past and current, can help shape your compliance strategies. ComplySci’s CCO Playbook will ensure you keep up with regulatory changes and provide you with a game plan to meet many of the top challenges CCOs face today.
-
ResourceWhite paper: Essential transcription dos and don’ts for your audio recording review program
Transcription is merely a starting point for call recording review and even the voice portion video recording review.. That said, voice-to-text technologies and even search tools built for transcripts still haven’t met both of the distinct last-mile-needs around using transcripts for compliance.
-
Article
Cathay Pacific execs quit due to Hong Kong protests
Amid pressure from Chinese authorities after initially not penalizing employees for taking part in the Hong Kong pro-democracy protests, two top Cathay Pacific executives have tendered their resignations.
-
Article
Chief compliance officer liability and the opioid epidemic
In a period of three months, two chief compliance officers have been charged for their individual roles in the opioid epidemic—a clear indication the Department of Justice continues to expand the scope of prosecutions to those who fail in their compliance responsibilities.
-
PodcastMax Roche on grant money management compliance
Max Roche, compliance manager of direct funding at the World Economic Forum, discusses his role in making sure grant money received by the organization is spent in the way intended.
-
ResourceWhite paper: 5 Compliance Steps for Video Conference Recording in Financial Services
There are 6+ different electronic communications present in video conferencing. MiFID II and SEC 17a-4 have retention and supervision requirements that apply to the audio and electronic communication within video conferences, requiring organizations to develop a compliance plan to govern this growing medium of communication.
-
PodcastVanessa Rossi on operationalized compliance done right
Vanessa Rossi, senior compliance counsel at Baker Hughes, explains to columnist Tom Fox the benefits of operationalized compliance and how to ensure it is properly in place.
-
ArticleKPMG fallout: Cheating allegations raise new questions
After new allegations at KPMG of cheating on internal training tests, audit committees now have another area of questioning for their external auditors.
-
ArticleBenchmark report provides holistic look at compliance best practices
A benchmark report published by NAVEX Global provides comprehensive research into the multiple disciplines of an ethics and compliance program.
-
ArticleData, behavioral analysis must go hand in hand
There is a growing realization that data analysis, devoid of psychological and behavioral analysis, might not be as effective as hoped or intended.
-
ArticleSoft skills, strategy set to define CCO of future
Determining the future of compliance and its practitioners is a tall task, one that a panel of experts at CW’s 2019 annual conference analyzed with their respective insights.
-
ArticleCompliance pioneer defines the future path of profession
Compliance functions of the future need to better use data, measure outcomes, and deal with differing views on what constitutes good ethics, says expert Hui Chen.
-
Article
Nissan to overhaul its governance structure
In a meeting this month, Nissan’s board of directors unanimously voted in favor of a transition from a company with statutory auditors to a company with three statutory committees.