All Risk Management articles – Page 105
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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.
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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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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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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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ArticleFinCEN elaborates on virtual currency risk, obligations
SARs and due diligence are cited as effective tools for avoiding virtual currency malfeasance, says the Financial Crimes Enforcement Network.
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BHP faces $5B claim over 2015 Brazilian dam collapse
Mining company BHP is facing a $5 billion damages action in the United Kingdom for its alleged negligence in its duty to prevent the Fundão dam collapse in Brazil in 2015.
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ArticleTop 10 supply chain risks for 2019
Natural disasters, droughts, port disruptions, cargo theft, and industrial fires are some of the top supply-chain risks that should keep executives and chief risk officers on their toes in 2019, according to a new risk report.
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ResourceThe Right Moves: The Evolution of Approach in Risk Management
The concept of risk management—what it is and consists of—is something that is often misunderstood or misinterpreted.
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ArticleOptions drive more risk than stock, study says
Company executives may be more likely to take on risk when their compensation is based more on stock options than stock awards, a new study says.
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ArticleOCIE issues risk alert on Regulation S-P
The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert on Regulation S-P describing the most common deficiencies it has uncovered in recent examinations of both registered investment advisers and broker-dealers.
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ArticleBest practices for managing employee reports
A recent report from NAVEX Global offers a look at how the performance of ethics and compliance officers’ hotline and incident management systems stack up against their peers.
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PodcastMarcel de Chermont: ‘no person left behind’
Marcel de Chermont, founder and principal of Caledonia Consulting, Inc., discusses with columnist Tom Fox how to tailor a risk-based compliance program to different groups of employees while getting the same message across.
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ArticleWe’ll show you how to demystify data analytics for compliance
At this Compliance Week 2019 session, HUB professionals discuss ways to improve the data analytics component of the compliance function with relevant training on data execution and risk detection.
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ArticleFed seeks comments on framework for foreign banks
The Federal Reserve Board is seeking public comments on a regulatory framework that would more closely match the rules for foreign banks with the risks they pose to the U.S. financial system.
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ResourceFueling Modern Risk Mitigation with APIs: A Quintessential Guide to Watch List Screening
As technology becomes more sophisticated and influences how organizations conduct business, the need for efficient watch list screening increases exponentially.
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Special committee report details governance reforms needed at Nissan
Last year, Japanese automaker Nissan formed a “Special Committee for Improving Governance” after its chairman Carlos Ghosn was arrested for engaging in financial misconduct. On March 27, the special committee published its findings, holding nothing back.
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Lockpath updates Keylight Platform
Integrated risk management solutions provider Lockpath announced the newest update to the Keylight Platform, designed to increase the efficiency and usability of the solution.
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Lexington Realty Trust appoints chief risk officer
Lexington Realty Trust announced key changes to its leadership team, including the appointment of a new chief risk officer and a new chief accounting officer.
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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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ArticleAnatomy of a cryptocurrency pyramid scheme
Much has been discussed about the business risks posed by cryptocurrency. Now, risk and compliance professionals have a real-life cryptocurrency pyramid scheme with which to cite.