All Internal Controls articles – Page 33
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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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Article
FCA 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.
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Blog
FDA Commissioner Scott Gottlieb to resign
Scott Gottlieb, commissioner of the Food and Drug Administration, announced Tuesday that he will resign within the next month.
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PodcastCédric Dubar on tone at the middle
Cédric Dubar, chief compliance & ethics officer at Volvo Car Group, details to columnist Tom Fox how tone at the middle can benefit the leadership structure of a company.
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Blog
Exiger adds new EMEA regional leader
Risk and compliance solutions provider Exiger announced the appointment of Jason Holt as managing director and EMEA regional leader.
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Blog
K2 Intelligence adds new managing director
Cyber defense services firm K2 Intelligence announced the hiring of Michelle Goodsir as a managing director in its global regulatory compliance practice.
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ArticleBuilding a better board and the benefit of director self-assessments
Technological disruption, the dark side of corporate culture, and evolving expectations from diverse stakeholders are all making the job of director more challenging, says a report by EY’s Center for Board Matters.
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Blog
Kroll adds two new managing directors
Kroll, a division of global advisor Duff & Phelps, announced Terry Orr and Michael Schwartz have joined the firm as managing directors in the business intelligence and investigations practice.
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ResourceMicrolearning: The New Standard For Compliance Programs
Traditional compliance training methods are no longer effective at reaching today’s employees.
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Software demoExpense Compliance Software – Resolvr (avoid $30M Fines & enjoy more profit)
Resolvr is an expense allocation, invoice management, and compliance tool with dynamic expense apportionment.
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ResourceHow to Stop Delivering Boring Compliance Training: A Holistic Approach to Employee Engagement
Many employees see compliance training as fundamentally uninteresting, irrelevant — or just plain boring.
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Blog
Immuta adds Richard Geering as VP of GRC
Enterprise data management solutions provider Immuta announced the hiring of Richard Geering as the company’s vice president of governance, risk, and compliance.