All Surveys & Benchmarking articles – Page 7
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PremiumTPRM Summit: How to operate a risk-based due diligence program
A panel of experts broke down the nuts and bolts of integrating a risk-ranking strategy and tailored approach to third-party due diligence at CW’s virtual TPRM and Oversight Summit.
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News BriefFCPA opinion tackles government-authorized payments
A new Foreign Corrupt Practices Act review by the Department of Justice offers an example of when stipends paid to foreign government personnel would not be considered a violation of the anti-bribery provisions of the law.
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News BriefCFTC touts record digital asset results in FY23 enforcement recap
The Commodity Futures Trading Commission solidified its view that it should be a primary regulator of cryptocurrencies with a record amount of cases regarding the digital asset space in fiscal year 2023.
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PodcastDigital Transformation of Compliance podcast: CW Advisory Board member Stan Yakoff
In this episode of the Digital Transformation of Compliance podcast series, Stan Yakoff, a CW Advisory Board member and Fordham Law professor, shares his perspectives on sourcing new technologies, data measurement, and areas where tech can make the biggest impact.
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News BriefCFTC: ‘Majority’ of FY23 whistleblower cases related to crypto fraud
Most of the whistleblower tips received by the Commodity Futures Trading Commission in fiscal year 2023 related to fraud and misappropriation of crypto/digital assets.
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PremiumThe value of sales and compliance allyship
“Every compliance activity is a sales activity,” writes Al Raymond, privacy compliance officer at ZoomInfo, regarding his team’s approach to demonstrate to sales how a strong control environment can be a competitive advantage.
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News Brief
HealthSun Health Plans earns DOJ declination in employee fraud case
The impact of the Department of Justice’s voluntary self-disclosure program was on display in the agency’s declination of an enforcement action against Florida-based health insurance company HealthSun Health Plans for apparent fraud committed by its employees and agents.
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PodcastDigital Transformation of Compliance podcast: Ryder CCO Pilar Caballero
In this episode of the Digital Transformation of Compliance podcast series, Pilar Caballero, chief compliance officer and chief privacy officer at Ryder, discusses her company’s process for vetting privacy concerns regarding use of new technologies.
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PremiumSEC crackdown on whistleblower violations a warning on employment contracts
Recent enforcement cases brought by the Securities and Exchange Commission regarding apparent violations of its whistleblower protection rule are proof the agency is taking compliance with the rule “very seriously,” said Enforcement Director Gurbir Grewal.
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PremiumSurvey: Risk chiefs feeling pressure from growing compliance mandates
Mounting compliance requirements and technological innovations have chief risk officers facing more complex risk environments, according to a KPMG survey.
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PodcastDigital Transformation of Compliance podcast: Pure Storage CLO Niki Armstrong
In this episode of the Digital Transformation of Compliance podcast series, Niki Armstrong, chief legal officer and corporate secretary at Pure Storage, discusses how her compliance team is considering using generative artificial intelligence.
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PremiumExperts: Copyright, IP concerns top of mind with AI use
Companies need to be aware of the legal risks and liabilities associated with their use of AI-based technologies, as technology firms are not the only ones in regulators’ sights, a panel of experts discussed at Compliance Week’s Europe conference in London.
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PremiumRisk models show finance, real estate most likely to face costly cyber events
The finance and real estate industries are at higher risk of experiencing a high-cost material cybersecurity incident, compared to other sectors, according to new research from risk modeling firm Kovrr based off data from U.S. Fortune 1,000 companies.
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PremiumQ&A: Bangladeshi compliance AVP on future of AML, leadership strategies
Rezaul Karim, assistant vice president, risk and compliance at HSBC Bangladesh, discusses with Compliance Week recent changes in KYC/AML compliance, how new technology is shaping the banking industry, and strategies for building and leading effective AML teams.
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PremiumHumans vs. machines, it all comes back to data
A panel of experts discussed trending topics in the compliance space, including the debate over whether humans or machines will lead future efforts to fight financial crime, during the opening keynote at Compliance Week’s Europe conference in London.
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PodcastDigital Transformation of Compliance podcast: Stellantis CCO Darren Bradshaw
In this episode of the Digital Transformation of Compliance podcast series, Darren Bradshaw, chief audit and compliance officer at Stellantis, shares how the automaker has digitized and automated parts of its compliance function.
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PremiumModern-day enterprises: How to prepare for and prove network compliance
The need to prove network compliance is intensifying as lawmakers introduce new privacy legislation and organizations update their contractual security requirements for third-party vendors.
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News BriefCybersecurity, AML risks among SEC 2024 exam priorities
SEC examiners will be asking tough questions of registered firms regarding how they handle risks related to operational security, interact with financial technology companies and crypto assets, and the maturity of their anti-money laundering programs.
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Opinion‘Ethics & Compliance for Humans’ highlights potential of profession
Adam Balfour’s new book explains the benefits ethics and compliance programs designed with the human experience in mind can have on workplaces, communities, and the world at large.
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News BriefPCAOB: Auditors ‘falling short’ on engagement quality reviews
A new staff report issued by the Public Company Accounting Oversight Board seeks to provide best practices for auditors amid observations of rising deficiency rates related to engagement quality reviews.