GUEST BLOG POST Lately, I’ve been reflecting on my experience presenting compliance updates to boards, both during my industry days and now as a consultant. One thing that consistently frustrates me is seeing compliance officers deliver presentations that are completely reactive. The focus is always on the number of investigations Read More
In recent times it seems that a corporate scandal is now an everyday occurrence and something which is far too frequent. The causes of a corporate scandal are also far too predictable: failures in corporate governance, poor risk management, compliance failures, unreliable intelligence, inadequate security, insufficient resilience, ineffective controls, and Read More
Exxon has recently filed a lawsuit against its activist investors, Arjuna Capital and Follow This, in order to stop them from filing climate-change proposals during the company’s shareholder meeting. The Exxon shareholder proposals ultimately urge the company to “go beyond current plans” to cut its greenhouse gas emissions. The lawsuit Read More
The rapid advancement of artificial intelligence (AI) has ushered in an era of unprecedented technological transformation, promising to revolutionize industries, enhance human capabilities, and reshape the very fabric of society. As with any transformative force, though, AI also presents a range of challenges and ethical concerns that demand careful consideration Read More
GUEST BLOG POST The Securities and Exchange Commission closed out its fiscal year with an announcement of charges against 10 firms in their capacity as broker-dealers and one registered broker-dealer and investment adviser for their failure to comply with the Books and Records requirements of the Federal Securities Laws. These Read More
GUEST BLOG POST: Finding ways for employees to feel comfortable speaking up when something isn’t right is challenging in the best of times. But with the backdrop of uncertainty from a bumpy economy and pending merger, the Activision Blizzard Ethics and Compliance team faces unprecedented headwinds. We’ll walk you through Read More
GUEST BLOG POST Leaders in any industry must anticipate the challenges–and opportunities–their companies face. As compliance practitioners responsible for trade surveillance, are we keeping pace with current and future challenges? Some evidence to consider: A top-tier bank was found to have no surveillance on its voice-brokered swaps desk, resulting in Read More
A new report shows that chief compliance officers and other compliance professionals got a nice bump in pay in 2022, as demand for compliance talent hit record highs. According to the report, by executive search firm BarkerGilmore, chief compliance officers received and average raise in base pay of 12 percent Read More
Artificial intelligence applications like ChatGPT are becoming common tools in the workplace to do everything from generating job descriptions, writing and editing reports, and to managing schedules (See related article, “How Employees Are Using ChatGPT on the Job“). But the apps aren’t perfect. In fact, they can be error prone Read More
GUEST BLOG Effective due diligence is critical to establishing relationships with customers, suppliers, and other third-parties that drive strong revenue generation. How can businesses, including banks and finance companies, balance effective anti-money laundering (AML) efforts, know your customer (KYC) workflows, customer due diligence (CDD), and third-party risk rating workflows with Read More
