All Internal Controls articles – Page 40
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Article
Barclays’ Staley to be fined in whistleblower case
Barclays bank chief Jes Staley gets to keep his job but faces a significant fine after admitting using bank staff to try to reveal a whistleblower’s identity.
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ArticleKim Yapchai: The role model
At Tenneco, Chief Ethics and Compliance Officer Kim Yapchai is building on years of experience to strengthen the company’s global compliance program.
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Article
India’s garment industry put through the wringer
A recent report illustrating substantial environmental issues in India’s garment industry offers a roadmap all companies could benefit from when monitoring and auditing supply chains.
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Blog
Post-mortem on Theranos—where were the controls?
Theranos’s fall from grace is one large-scale compliance failure. The reason? It’s all about internal controls, writes The Man From FCPA.
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Software demoIron Mountain Policy Center
Do you have the confidence to destroy records and store only what you need to retain for legal reasons? If not, you’re likely keeping records longer than required, limiting your legal defensibility. This 4-minute video is a crisp and concise demonstration of what you can do to have that confidence.
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Software demoCoordinating the three lines of defense with TeamMate+
TeamMate+ is a comprehensive platform that provides tools to enhance coordination among the three lines of defense and permit a secure but flexible means of proactively viewing activities without the need for traditional communication methods.
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Software demoManage policies efficiently with PolicyTech by NAVEX Global
PolicyTech enables organizations to improve efficiency and provide employees with easy access to all their important policies and procedures. Easily run audit-ready reports, keep documents up-to-date, and manage organizational risk.
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Software demoDisclosure research improves reporting compliance
Companies need to incorporate peer, competitor, and industry data into their internal and external reports to ensure their documents are complete and consistent. Certent DisclosureNet layers powerful search and filtering functionality on top of over 21 million regulatory submissions, accounting standards, insider trades, news releases, and more.
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Resource
Five Must-Haves in a Cloud Financial Management System
Read this whitepaper to find out what to look for when evaluating a cloud-based financial management solution.
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Article
Regulators skeptical of Uber’s work to fix breach processes
A look at the trials and tribulations of taxi-app company Uber: data breaches it tried to keep hidden, how they were exposed, what Uber is doing to fix operations.
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Article
Kobe Steel: “We are extremely sorry for our improper conduct”
The biggest question surrounding the recent scandal at Kobe Steel is: If you have all the right systems in place—culture of compliance, proper regulations, good quality control, and more—but admit you’ve largely ignored them, how do you convince customers and investors going forward that you’re ready to comply?
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Blog
Mapping your internal compliance controls
By mapping out the internal controls your company has in place to the indicia of the FCPA Enforcement Guidance’s Ten Hallmarks of an Effective Compliance Program and the 2013 COSO Internal Controls Framework, your company can ascertain what it has and what needs to be implemented.
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ArticleRescue compliance: When corporations save the animals
Corporations across the U.S. were on hand during this past hurricane season to help those animals impacted by the storms. More inside on where help was given and where help is still needed.
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Article
Encrypted messaging you can’t afford to ignore
The rise of messaging apps such as WhatsApp and WeChat mean that compliance departments will have to square encrypted messaging with current healthcare and finance regulations.
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Resource
A bird’s eye view of internal control accounting standards & risk
In this eBook, produced by Compliance Week in partnership with Workiva, we explore some of the most significant enterprise-risk management (ERM) challenges facing companies today and best practices being employed to tame those risks.
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Software demoCompliance Central: The all-in-one compliance platform for controls, reconciliations, and certifications
Compliance Central is a platform solution that is used to document and test controls, reconcile accounts, approve documents, and process secure certifications.
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Resource
Deploying Real-Time Watch List Screening
Doing business in today’s complex global economy is a game of risk and reward. As technology makes it easier to reach more customers and process transactions faster, companies have to keep close tabs on both. One false move could lead to stiff penalties from OFAC or severe reputational damage (or ...
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Blog
Actiance offers capture and archiving support for Microsoft Teams
Actiance, a communications compliance, archiving, and analytics provider, recently launched capture and archiving support for workplace messaging platform Microsoft Teams, a real-time collaboration hub that’s bringing new levels of efficiency to the enterprise.
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Blog
Compliance lessons from hurricanes
Recent natural disasters underscore the importance of being prepared, and of practicing crisis response. Compliance officers must do the same for their own hurricane-level crises.
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Article
Beyond the investigation: Monitoring for retaliation
An organization cannot have a speak-up culture if its workers fear retaliation for coming forward. Learn to spot the telltale signs of retaliatory culture before it poisons the well.