Every company like to believe that its employees and management are above reproach and would never do something to harm the organization. However, it is also a wise business move to have systems in ...

In this podcast, Kristy Grant-Hart, CEO of Spark Compliance Consulting and author of the new book Your Year as a Wildly Effective Compliance Officer, points out that sometimes we get in our own way.

Compliance or internal audit departments frequently carry out audits intended to assure that business partners in an organization, such as human resources or legal departments, have in place policies ...

"… the most important [factor] in determining the amount of the penalty are the seriousness of the offense and the strength of the entity’s commitment to ...

When crypto exchange FTX imploded late last year, inevitable questions related to compliance ensued. How did co-founder Sam Bankman-Fried get away with such obvious irregularities? Why were the ...

Marshall Hargrave is a stock analyst and writer with 10+ years of experience covering stocks and markets, as well as analyzing and valuing companies. Investopedia / Tara Anand The compliance ...

In the world of asset management, compliance is very important. It can range from simple policies set at your business to full-on laws enforced by government agencies, with penalties that range from a ...

Where the field convenes. Privately. A curated private community for credentialed ethics, risk, and compliance leaders across the ECI and Compliance Week network. Ask the questions you can’t post ...

When building and maintaining strategic business partnerships, it’s natural to place much of the focus on trust and partnering with someone who shares your goals and values. But this is just a ...

The Reserve Bank of India (RBI) has asked regulated entities (REs) to leverage technology to enhance the effectiveness of internal Compliance monitoring function. This directive comes as a review of ...