Audit Board

SEPTEMBER 20, 2022

Combining deep advisory experience and insight with advanced audit technology enhances governance, risk and compliance (GRC) management. AuditBoard delivers an integrated suite of audit, risk and compliance solutions that streamline internal audit, SOX compliance, controls management, risk management and security compliance processes.

Compliance 52

Compliance Technology 52

N Contracts

SEPTEMBER 20, 2022

EXECUTIVE SUMMARY: The definition of a CMS includes three key elements: board and management oversight; a compliance program; and violations of law and consumer harm. The whitepaper breaks down each of these elements and offers advice for streamlining existing compliance functions to create a more effective and efficient CMS.

Compliance 52

Compliance Banking 52

Audit Board

JUNE 3, 2022

Customer reviews rank AuditBoard’s modern connected audit, risk and compliance platform as a top performer. Most recently, this May, AuditBoard introduced advanced automation capabilities for its award-winning CrossComply solution, combining automation with scalability to accelerate security compliance programs.

Compliance 52

Compliance Marketability 52

Business Wire M&A

MAY 4, 2023

Nalanda is a leading supplier risk and compliance management platform for the construction sector in

Compliance 52

Compliance 52

Benzinga

JUNE 22, 2023

Louis Park, Minnesota based Compliance Publishing, a renowned provider of solutions for medical waste companies. This strategic acquisition strengthens Routeware's product offerings for medical waste haulers, including the ability to manage back-office operations and provide OSHA training and compliance. "We

Compliance 40

Compliance Technology 40

N Contracts

APRIL 4, 2023

Compliance risk, or the risk that a financial institution will fall short of compliance requirements, is one of the greatest challenges facing financial institutions (FIs). Violating these laws or failing to follow internal policies designed to ensure compliance can have steep reputational, financial, and regulatory consequences.

Compliance 52

Compliance 52

ThomsonReuters

DECEMBER 22, 2020

Are multinational trade compliance managers prepared? product tracking, proof of origin, customs declarations, inventory management, tariff calculations, and more—many multinationals still manage their supply chains using the same spreadsheets and manual procedures they developed decades ago. Many are not.

Compliance 59

Compliance Technology 59

Harvard Corporate Governance

OCTOBER 7, 2023

Artificial intelligence (AI) has the capacity to disrupt entire industries, with implications for corporate strategy and risk, stakeholder relationships, and compliance that require the attention of the board of directors. The implications for compliance with legal, regulatory, and ethical obligations. more…)

Compliance 250

Compliance Technology 250

N Contracts

OCTOBER 4, 2022

It’s hard to find compliance talent (and it’s expensive). Even more, it’s costly and time-consuming to replace bad hires or individuals that turn out to not fit well with your organization.

Compliance 77

Compliance 77

Harvard Corporate Governance

FEBRUARY 4, 2024

Data analytics technology has now matured to a point where companies should consider how to harness it for enhancing compliance around their corporate financial and sustainability disclosures. Danilack, Frances Waldmann , Chris Rosina , and Samantha Yi. more…)

Compliance 210

Compliance Technology 210

Harvard Corporate Governance

JULY 6, 2023

Compliance has become a critical corporate governance issue. In response, companies pour billions of dollars into compliance programs meant to prevent and detect wrongdoing by their employees. Yet there remains much skepticism regarding the effectiveness of these compliance programs. more…)

Compliance 215

Compliance 215

Harvard Corporate Governance

SEPTEMBER 28, 2022

The US Department of Justice (DOJ) and the US Securities and Exchange Commission (SEC) have issued a number of policy updates and public pronouncements over the last several months, emphasizing the importance of empowered and accountable corporate compliance programs. Ensure compliance has the resources to do its job. more…).

Compliance 214

Compliance Technology 214

Harvard Corporate Governance

DECEMBER 3, 2023

Posted by Dean Kingsley, Matt Solomon, Deloitte & Touche LLP, and Kristen Jaconi (USC Marshall), on Sunday, December 3, 2023 Editor's Note: Dean Kingsley is a Principal and Matt Solomon is a Senior Manager at Deloitte & Touche LLP. This post is based on their recent Deloitte report.

Enterprise Value 329

Enterprise Value Market Risk Technology Compliance 329

N Contracts

DECEMBER 22, 2022

It’s the quietest week of the year for those logging into work. Few co-workers and even fewer meetings finally give you time to take a breath, catch up on reading, and get ready for the year ahead. (At At least we hope it does.).

Compliance 52

Compliance 52

Harvard Corporate Governance

DECEMBER 14, 2022

Posted by Rich Kando, Sean Dowd, Robert Coffey, AlixPartners, on Wednesday, December 14, 2022 Editor's Note: Rich Kando and Sean Dowd are Managing Directors, and Robert Coffey is Director at AlixPartners. This post is based on their AlixPartners memorandum. Introduction. more…).

Compliance 217

Compliance 217

Harvard Corporate Governance

OCTOBER 9, 2022

Delaware courts have become more willing to allow stockholders to pursue claims that directors breached their duty to oversee risk management and compliance. Boards need to ensure that they are devoting enough attention to risks and compliance and carefully document their oversight efforts. more…).

Compliance 240

Compliance 240

Harvard Corporate Governance

DECEMBER 26, 2023

Posted by Andrew Rosini, Toni Mele, and Tracy Wilkison, FTI Consulting, on Tuesday, December 26, 2023 Editor's Note: Andrew Rosini is a Senior Managing Director and Leader of Global Risk & Investigations Practice; and Toni Mele and Tracy Wilkison are Senior Managing Directors at FTI Consulting. Wilkison, and Pat Pericak.

Compliance 117

Compliance 117

N Contracts

APRIL 11, 2022

Compliance may seem like a gray area at times, especially for companies not accustomed to operating under the mountain of regulations covering the financial services industry. Other times, an issue is so egregious that there is no doubt that a company is in the wrong.

Compliance 81

Compliance 81

N Contracts

MARCH 15, 2024

Complaint management requires direct communication, but that’s easier said than done. Departments are named after the specific set of tasks they focus on (compliance, risk, vendor management, lending, or customer service). Risk management ensures risk is identified, measured, mitigated, and monitored throughout the institution.

Compliance 52

Compliance 52

Harvard Corporate Governance

SEPTEMBER 2, 2023

As companies continue to explore and invest in AI, they also are tasked with considering numerous business implications, such as ethics, compliance, and regulatory processes; risks (e.g., operational and reputational) and risk appetite; equity; governance; and the role of the board.

Technology 325

Technology Compliance Equity 325

Harvard Corporate Governance

OCTOBER 1, 2022

Empowering Corporate Compliance Functions in a Post-Pandemic Environment. Tags: Accounting , CFOs , Diversity , Executive turnover , Management , Succession. Battle for Our Souls: A Psychological Justification for Corporate and Individual Liability for Organizational Misconduct. Posted by Erin Brown Jones, Christopher D.

Compliance 211

Compliance Marketability 211

Harvard Corporate Governance

NOVEMBER 4, 2023

Companies must file their policy as an exhibit to their first annual report filed on or after December 1, 2023 (Form 10-K for US domestic issuers, Form 20-F for FPIs, Form 40-F for filers under the multijurisdictional disclosure system (MJDS), and Form N-CSR for registered management investment companies). 01 (emphasis added).

Compliance 263

Compliance 263

Harvard Corporate Governance

MAY 28, 2023

1] Form PF requires SEC-registered investment advisers to file reports with the SEC regarding private funds managed by such advisers and allows the Financial Stability Oversight Council to assess systemic financial risk to the U.S. On May 3, 2023, the SEC voted to adopt significant amendments to Form PF on a 3-2 vote. [1] financial system.

Equity 220

Equity Compliance 220

N Contracts

FEBRUARY 22, 2024

February 22, 2023 –  Ncontracts , the leading provider of integrated compliance, risk, and vendor management solutions to the financial services industry, announced today its agreement with America’s Credit Unions for the promotion of Ncontracts' full suite of time and cost-saving risk management solutions. BRENTWOOD, TN.,

Compliance 94

Compliance 94

N Contracts

DECEMBER 12, 2023

December 12, 2023 --     Ncontracts , the leading provider of integrated compliance, risk, and vendor management solutions to the financial services industry, announced it has acquired Quantivate, a growing provider of governance, risk, and compliance (GRC) solutions for banks and credit unions. BRENTWOOD, Tenn.,

Compliance 95

Compliance Banking 95

Audit Board

OCTOBER 17, 2023

Purpose-built extensions allow Audit, Risk, and Compliance teams to leverage transformative automation and data insights to manage risk more efficiently. AuditBoard now offers the industry’s most flexible and approachable analytics options for audit, risk, and compliance teams.

B2B 111

B2B Compliance Technology Marketability 111

Harvard Corporate Governance

OCTOBER 19, 2022

Posted by Carine Smith Ihenacho, Wilhelm Mohn, and Alexis Wegerich, Norges Bank , on Wednesday, October 19, 2022 Editor's Note: Carine Smith Ihenacho is Chief Governance and Compliance Officer, Wilhelm Mohn is Global Head of Corporate Governance, and Alexis Wegerich is Head of ESG Analytics at Norges Bank Investment Management.

Banking 243

Banking Compliance Marketability Technology 243

Harvard Corporate Governance

JULY 22, 2022

The past few years have brought significant attention to environmental, social and governance (ESG) principles, whether related to climate change, sustainability, human capital management or diversity, equity and inclusion. Are ESG Issues and Opportunities “Mission-Critical”?

Compliance 275

Compliance Equity 275

Harvard Corporate Governance

JANUARY 17, 2023

In November 2022, the SEC announced a settlement with Goldman Sachs Asset Management, L.P. Sitkoff and Max M. Schanzenbach. Like the BNY Mellon ESG order, which was settled last May for $1.5 million, the SEC focus was on statements made by the adviser regarding how it integrated ESG into its investment decision-making process.

Compliance 230

Compliance 230

Harvard Corporate Governance

APRIL 18, 2024

Posted by Amy Jane Longo, Shannon Capone Kirk, and Isaac Sommers, Ropes & Gray LLP, on Thursday, April 18, 2024 Editor's Note: Amy Jane Longo is a Partner, Shannon Capone Kirk is Managing Principal & Global Head of Advanced E-Discovery and A.I. Strategy, and Isaac Sommers is an Associate at Ropes & Gray LLP.

Compliance 117

Compliance Marketability 117

Harvard Corporate Governance

JANUARY 14, 2023

On December 2, 2022, the Board of Governors of the Federal Reserve System (Federal Reserve) published proposed Principles for Climate-Related Financial Risk Management for Large Financial Institutions (the Proposal). Long, Pia Naib , Anne Mainwaring , and Deric Behar.

Banking 257

Banking Compliance Marketability 257

Harvard Corporate Governance

NOVEMBER 16, 2022

Welcome to the Compliance Outreach Program of the Securities and Exchange Commission’s Investment Adviser/Investment Company National Seminar. Compliance. As chief compliance officers, I think that you all seek to be considered as “good counsellors.”. Good morning.

Compliance 183

Compliance Finance 183

Harvard Corporate Governance

AUGUST 24, 2022

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. SEC Holds Chief Compliance Officer (CCO) Liable for Failing to Implement Policies and Procedures.

Data Analysis 230

Data Analysis Compliance 230

Harvard Corporate Governance

NOVEMBER 24, 2022

Remarks by Commissioner Peirce before FINRA’s Certified Regulatory and Compliance Professional Dinner. Tags: Asset management , Corporate governance , ESG , Esg governance , Proxy advisors , Sustainability. Posted by Hester M. Peirce, U.S. Securities and Exchange Commission, on Friday, November 18, 2022. The Playing Field.

Compliance 226

Compliance 226

Harvard Corporate Governance

APRIL 26, 2022

Posted by Ranah Esmaili, Victoria Anglin, and Marie Fang, Sidley Austin LLP, on Tuesday, April 26, 2022 Editor's Note: Ranah Esmaili is partner, Victoria Anglin is managing associate, and Marie Fang is an associate at Sidley Austin LLP. Importance of Compliance Programs. This post is based on a Sidley memorandum by Ms. Esmaili, Ms.

Compliance 179

Compliance Marketability Technology 179

Harvard Corporate Governance

AUGUST 13, 2023

On July 26, 2023, the SEC adopted final rules that require public companies to promptly disclose material cybersecurity incidents on Form 8-K and detailed information regarding their cybersecurity risk management and governance on an annual basis on Form 10-K. more…)

Compliance 189

Compliance 189

Harvard Corporate Governance

JANUARY 19, 2024

Sobolewski, Wachtell, Lipton, Rosen & Katz, on Saturday, January 13, 2024 Tags: Acquisitions , Add-Ons , Antitrust , Buyouts , Carveouts , Exits , Financing , Fundraising , Funds , Liability management , Private credit , Private equity Seven Key Trends in ESG for 2023—and What to Expect in 2024 Posted by Leah Malone and Emily Holland, Simpson Thacher (..)

Compliance 100

Compliance Finance Equity 100