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Thursday, September 4, 2014

New whistleblower award provides compliance lessons for companies

Generally, there should be no open case lasting 30 days without saying why it is open so long


The Securities and Exchange Commission (SEC) has announced a whistleblower award of over $300,000 to someone who worked in audit and compliance at the involved company.

The sizable award sends reminders to various parties who follow compliance issues, especially because it is the first award for a whistleblower with an audit or compliance role.

Read More | Original Story

Tuesday, August 19, 2014

Study: Supervisor-Level Compliance Training Lagging

By Peter Rawlings

Compliance training of supervisors and managers could be stymying financial services firms' pursuit of a strong culture of compliance, according to the authors of a new study by Navex Global.

While chief compliance officers generally believe their training programs are on the right track-with 75% of respondents saying they generally think employees receive sufficient training-they have less confidence in the specific training of middle management and supervisory-level professionals.

Read More | Original Story

Thursday, August 14, 2014

10 questions for de-risking a board


A company’s board of directors can and should play a critical role in risk management, guiding the CEO and senior management on key business issues and taking the lead on governance issues like succession planning. But who oversees the board?

Read More | Original Story

Tuesday, August 5, 2014

ACC Partners With Navex Global, Wolters Kluwer

By Marlisse Silver Sweeney

The Association of Corporate Counsel, the global bar association representing more than 34,000 in-house counsel in more than 85 countries, is stocking up on its compliance and information providers. The ACC has tapped Navex Global and Wolters Kluwer Law & Business to join the ACC Alliance Program, which gives members special rates and resources.

Read More | Original Story

Monday, August 4, 2014

Compliance Chiefs' Top Worry: Culture

By Peter Ortiz

Compliance training has moved from instruction on regulatory requirements and how not to flout them to a more intense focus on fostering an ethics-friendly culture, compliance chiefs say.

Recently released results of a survey of 763 professionals who deal with compliance or legal responsibilities show that 90% cite creating a culture of ethics and respect as the top training objective.

Read More | Original Story

Monday, July 28, 2014

The Morning Risk Report: McDonald’s Takes New Approach to China Food Scare


For Western restaurant chains, public relations crises are part of doing business in China but McDonald's Corp. appears to be trying a new tack in its response to allegations of expired meat being used in its supply chain.

Read More | Original Story

Wednesday, July 23, 2014

The Morning Risk Report: AIFMD Complicates Pursuit of Capital


For private equity and hedge funds hunting for fresh capital, the task just got more complicated. Tuesday was the deadline for compliance with the European Union’s Alternative Investment Fund Managers Directive, which applies stringent regulations to marketing of funds and deal structure.

Read More | Original Story

Tuesday, July 22, 2014

Don’t Discount Repeat Whistleblowers


The Securities and Exchange Commission recently banned a would-be whistleblower over annoying filings—but companies probably shouldn’t follow the agency’s lead.

Although the SEC barred the anonymous would-be tipster for submitting 196 bogus applications for whistleblower awards, its chairman Mary Jo White recently emphasized that employees who repeatedly raised concerns internally need to be taken seriously.

Read More | Original Story