All Internal Controls articles – Page 33
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ArticleA new CCO’s Herculean task at Wells Fargo
Compliance Week chats with Wells Fargo CCO Mike Roemer about the challenge of rebuilding trust at a company that’s been the poster child of compliance and risk management gone wrong.
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Article
Inside Wells Fargo’s plan to restore trust
Compliance Week looks at highlights from Wells Fargo’s plan to transform the future.
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ResourceInside Conflict of Interest: Interview with an Industry Leader
Osprey Compliance Software is proud to bring you this inside insight interview with Roy Snell. As the ex-CEO of major compliance organizations SCCE and HCCA, Roy is a well established expert in the compliance industry.
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ResourceCompanies Look to Combat Corporate Misconduct
As corporate misconduct, such as sexual harassment and discrimination, continue to make headlines, companies are becoming increasingly focused on detecting “bad behaviors” so they can be appropriately managed.
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ArticleEU data supervisor warns online providers about Ts & Cs
The European Data Protection Supervisor is warning social media and tech companies that their consumer terms and conditions may soon come under increased scrutiny if they fail to comply with the agency’s rules.
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PodcastBrian Beeghly on defining ethical leadership
Brian Beeghly, former chief compliance officer at Johnson Controls, explains to columnist Tom Fox the steps taken in designing a leadership model in the wake of an FCPA investigation.
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ResourceThe Four Pillars of a Comprehensive Harassment Prevention and Compliance Strategy
3 out of 4 non-manager employees who experienced harassment did not report it, according to a 2018 Society for Human Resource Management (SHRM) survey.
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ArticleExecuting a culture of integrity initiative
Building a culture of integrity is more than just putting on a compliance week fair; join this Conversation at the annual CW conference in May to learn how to implement a culture of integrity.
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ArticleNext steps for senior compliance professionals and how to get there
You’ve climbed far up the corporate ladder, but what are your next steps? Join this expert panel at Compliance Week 2019 to discuss how to choose the right trajectory toward evolution in the corporate world.
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Resource2019 Directory of Governance, Risk, and Compliance Education Programs
Featuring some of the world’s most prestigious universities, the online directory serves as a valuable information resource for anyone in the professional field looking to further their education.
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PodcastKatie Smith on compliance at a growth company
Katie Smith, chief compliance officer at Convercent, shares with columnist Tom Fox the challenges she’s faced as a CCO at a growth company.
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ArticleGuarding the gatekeeper
Gatekeepers who have firsthand knowledge of corporate wrongdoing should be entitled to the same legal protections afforded to any other whistleblower.
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ArticleAsk Amii mailbag: Keys to effective, engaging training
Executive coach Amii Barnard-Bahn tackles your questions on compliance training, conducting an ethics health check, and more.
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PodcastKathy Self on achieving global compliance
Kathy Self, chief compliance officer and data protection officer at Universal Weather and Aviation, explains to columnist Tom Fox the hurdles a small, global company must overcome when approaching compliance.
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ArticleWhy ‘moral leadership’ matters, and how to demonstrate it
Most employees believe moral leadership leads to better business results, but few believe senior leaders consistently demonstrate those qualities. That’s according to the findings of a new report, “The State of Moral Leadership in Business 2019,” conducted by ethics and compliance advisory firm LRN.
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Article
Nokia discloses Alcatel-Lucent compliance issues
Following its 2016 acquisition of Paris-based telecommunications company Alcatel-Lucent, Nokia disclosed in a filing with the Securities and Exchange Commission that it has “been made aware of certain practices relating to compliance issues at the former Alcatel-Lucent business that have raised concerns.”
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Article
SEC adopts amendments, MD&A changes to simplify disclosures
The SEC has adopted amendments to Regulation S-K disclosure requirements and MD&A filings that are intended to improve the readability of company disclosures and to discourage repetition and immaterial information.
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ArticleFCA fines UBS £27.6M for transaction reporting failures
The U.K. Financial Conduct Authority has fined UBS £27.6 million (U.S. $36.6 million) for failings relating to 135.8 million transaction reports.
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ArticleMy Compliance Library: How to create a ‘Fearless Organization’
Richard Bistrong explains how Amy C. Edmondson’s book on organizational health relies on the idea that employees are not governed by fear, but rather empowered by a safe environment that embraces honesty and candor.