Harvard Corporate Governance

DECEMBER 14, 2022

Business leaders of companies operating outside of the financial services industry (“corporates”) are more frequently asking their legal and/or compliance departments a variation of the following question: “Is our company’s compliance program good enough?”. However, there are certain attributes, based on previous Department of Justice (“DOJ”) resolutions and our historical compliance experience, that are necessary for a compliance program to be “good enough.”

Compliance 162

Compliance 162

IVSC

MARCH 22, 2022

Compliance. However, IVSC and AEV would recommend the adoption of these terms to aid alignment with IVS and in keeping other national valuation standard setters, who adopt these terms to support compliance with IVS. Inclusion of a section on compliance with IVS within valuation reports.

Compliance 244

Compliance Discounted Cash Flow Fair Market Value Liquidation Value 244

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. These recommendations include the following: Re-evaluate corporate compliance risks. Address not just new risks, but also new business realities in the compliance program.

Compliance 188

Compliance Technology 188

Harvard Corporate Governance

DECEMBER 30, 2022

Increasingly, as part of settlements, the commission has insisted that companies retain an independent compliance consultant who will report back to the staff of the SEC’s Division of Enforcement on compliance-related undertakings. Posted by Anita B.

Compliance 273

Compliance 273

Harvard Corporate Governance

DECEMBER 6, 2022

The fundamental components of effective corporate compliance programs have not changed significantly in recent years. [1] Department of Justice leaders expressed particular concern this year about whether companies have appropriately integrated their compliance departments. Department of Justice’s Criminal Division — a former corporate chief compliance officer — described his perception of compliance professionals’ environments: “I know the resource challenges.

Compliance 190

Compliance 190

Complysci

DECEMBER 8, 2022

You’re a compliance professional who knows how to get the job done, but even experts sometimes need outside help. New regulations and violation risks create new demands on your team and your compliance program. Last time, we talked about the impact regulatory compliance technology.

Compliance 98

Compliance Technology 98

Harvard Corporate Governance

OCTOBER 7, 2022

Legislative & Regulatory Developments Practitioner Publications Securities Litigation & Enforcement Speeches & Testimony Compensation guidelines compliance Corporate crime Credit exposure Disclosure DOJ Public enforcementPosted by Justin P. Murphy, Sarah E. Walters, and Edward B. Diskant, McDermott Will & Emery LLP, on Friday, October 7, 2022 Editor's Note: Justin P. Murphy , Sarah E. Walters , and Edward B. Diskant are partners at McDermott Will & Emery LLP.

Compliance 170

Compliance 170

Henry Horne

SEPTEMBER 13, 2022

For many, managing compliance risks can seem like a daunting task. As such, here are some tips to consider when evaluating your approach to compliance risks management. Without assessing your risks compliance … Keep Reading.

Compliance 52

Compliance 52

Business Wire M&A

DECEMBER 2, 2022

Compliance Learning?????????“Compliance Compliance Learning”?????????LRN?????????????????????????? Compliance Learning?LRN????????????????????????????????????????????2,500????????????????LRN?????????????????????????????????????????????????LRN???????????????????????????????????

Compliance 52

Compliance 52

Norman Marks

JANUARY 30, 2023

Compliance with those regulations is a major part of the internal […] Risk audit riskAs I said in my last post, I recently had the privilege of hanging out with a bunch of smart people: internal auditors. They work for an organization with manufacturing facilities all over the world, each of which is subject to strict safety regulations.

Compliance 42

Compliance 42

Complysci

DECEMBER 1, 2022

If 2022 taught us anything, it’s that compliance is evolving, and your firm better keep up. Investment adviser, broker-dealer, hedge fund and private equity firms have faced a compliance upheaval in the past 12 months. Analyzing the current state of regulatory compliance programs.

Compliance 52

Compliance Private Equity Firm Equity Technology 52

Business Wire M&A

FEBRUARY 9, 2023

PITTSBURGH--(BUSINESS WIRE)--RQM+, proveedor líder mundial de servicios de tecnología médica, anunció hoy la compra de Giotto Compliance a Giotto.ai.

Compliance 52

Compliance 52

Machen McChesney

JUNE 2, 2022

Payroll compliance is about meeting your payroll obligations as required by law. Learn how your organization can stay compliant. Payroll, HR & Benefits

Compliance 52

Compliance 52

Machen McChesney

JUNE 2, 2022

Payroll compliance is about meeting your payroll obligations as required by law. Learn how your organization can stay compliant. Payroll, HR & Benefits

Compliance 52

Compliance 52

Complysci

JANUARY 26, 2023

Whether you’re a small broker-dealer or an enterprise-level private equity firm, your regulatory compliance program isn’t a one man show – even if the department is only made up of your chief compliance officer (CCO). The CCO and compliance team Let’s start with the obvious.

Compliance 52

Compliance Private Equity Firm Equity 52

LaPorte

AUGUST 5, 2022

In June, the IRS began piloting a new compliance program for benefit plan sponsors. This program gives benefit plans 90-days’ notice of an upcoming examination,… The post 90-Day Pre-Exam Compliance Program for Retirement Plans first appeared on LaPorte.

Compliance 98

Compliance 98

LaPorte

FEBRUARY 13, 2023

(authored by RSM US LLP) 2022 brings required capitalization and potentially hard decisions The post Take action on section 174 R&E compliance first appeared on LaPorte.

Compliance 52

Compliance 52

Audit Board

APRIL 25, 2022

If you’ve been wondering where security practices and compliance requirements align and where they diverge, you’re not alone. Security and compliance have synergies, but they aren’t the same, and it can be challenging to tease them apart. What Is Compliance? SOX Compliance .

Compliance 90

Compliance Technology 90

Machen McChesney

MARCH 18, 2023

As a business owner/manager, you have many processes and tasks involved in your day-to-day workload. Scheduling, timekeeping, payroll, etc. How about new hire onboarding? Payroll, HR & Benefits

Compliance 77

Compliance 77

Business Wire M&A

DECEMBER 2, 2022

Compliance Learning?????????“Compliance Compliance Learning”??????????LRN??????????????????????????????? Compliance Learning?LRN????????????????????????????????????????????2,500???????????????LRN???????????????????????????????????????????????????LRN??????????????????????????????????? ??--(BUSINESS WIRE)--(??????)--LRN LRN Corporation?????“LRN”?????????????????????????????????????????????????(Thomson LRN”?????????????????????????????????????????????????(Thomson

Compliance 40

Compliance 40

Complysci

NOVEMBER 28, 2022

Rome wasn’t built in a day, and likely neither was your compliance program (or the compliance technology backing it). New regulations and risks creating new demands on your team and your compliance program. Today, we’re focusing on regulatory compliance technology.

Compliance 52

Compliance Technology 52

Complysci

JANUARY 25, 2023

Preparing, disseminating, capturing and maintaining regulatory compliance certifications is standard practice at brokerage firms. Your platform should also allow employees to upload documents to support their responses, for supervisory or compliance department review.

Compliance 52

Compliance Technology 52

Business Wire M&A

FEBRUARY 9, 2023

PITTSBURGH--(BUSINESS WIRE)--RQM+, the world’s leading MedTech service provider, today announced the acquisition of Giotto Compliance from Giotto.ai.

Compliance 40

Compliance 40

Complysci

APRIL 11, 2022

As a Chief Compliance Officer or compliance professional, what does your day-to-day entail? While you might use terms like compliance automation solution or financial regulatory compliance software, Regtech is the official industry terminology. Compliance.

Compliance 96

Compliance Technology 96

Complysci

NOVEMBER 10, 2022

Working in the financial regulatory compliance landscape can be…challenging. As the chief compliance officer or professional serving your organization, you have quite a few tasks on your overarching to-do list. Educate your firm on the why behind your corporate compliance program.

Compliance 52

Compliance Private Equity Firm Equity 52

Business Wire M&A

FEBRUARY 9, 2023

PITTSBURGH, Pennsylvania, USA--(BUSINESS WIRE)--RQM+, der weltweite Marktführer bei MedTech-Dienstleistungen, hat heute die Übernahme von Giotto Compliance von Giotto.ai Giotto Compliance ist eine globale All-in-One-Plattform mit künstlicher Intelligenz (KI), die die Effizienz und Effektivität von regulatorischen Berichten und Einreichungen während des gesamten Produktentwicklungszyklus für Hersteller von Medizinprodukten und In-vitro-Diagnostika steigert.

Compliance 40

Compliance 40

Business Wire M&A

FEBRUARY 9, 2023

PITTSBURGH--(BUSINESS WIRE)--RQM+, 's werelds toonaangevende MedTech-serviceprovider, heeft vandaag de overname aangekondigd van Giotto Compliance van Giotto.ai.

Compliance 52

Compliance 52

Business Wire M&A

FEBRUARY 9, 2023

PITTSBURGH--(BUSINESS WIRE)--RQM+, leader mondiale nei servizi MedTech, ha annunciato oggi l'acquisizione di Giotto Compliance da Giotto.ai. Giotto Compliance è una piattaforma di intelligenza artificiale (AI) globale e completa, progettata per aumentare l'efficienza e l'efficacia dei rapporti normativi e dei depositi durante il ciclo di vita dello sviluppo del prodotto per i produttori di dispositivi medici e di diagnostica in vitro.

Compliance 40

Compliance 40

Complysci

DECEMBER 22, 2022

You’re a compliance professional who knows how to meticulously get the job done. But, in the ever-changing world of compliance, there’s always something new to learn. How compliance education can take your investment firm’s compliance program to the next level.

Compliance 52

Compliance Technology Marketability 52

Audit Board

FEBRUARY 22, 2023

In a business climate of emerging security risks and expanding regulatory requirements, security and compliance leaders are struggling under the pressure of maintaining ongoing compliance. Many compliance teams must contend with limited time, staff, and budgets.

Compliance 52

Compliance Technology 52

Reynolds Holding

FEBRUARY 23, 2023

Before entering some of these resolutions, we saw only lip service paid to compliance, and in one case, managers who had substantial information about unlawful trading allowed it to continue. Across the board, our resolutions required these companies to cooperate and implement appropriate and effective compliance improvements to course-correct. White Collar Crime corporate compliance corporate crime corporate enforcement DOJ fraud justice department white collar crime

Compliance 45

Compliance Treasury Marketability Banking 45

ThomsonReuters

DECEMBER 5, 2022

By removing manual, time-consuming compliance tasks from workloads, tax and accounting professionals can reclaim those hours and use them for greater value activities such as advisory services. . How does automating compliance tasks free up time for higher-value activities? .

Compliance 59

Compliance Technology 59

Audit Board

DECEMBER 25, 2022

With increased regulatory scrutiny on cybersecurity, third-party exposure, and Environmental, Social, and Governance (ESG), compliance risk was a major concern for organizations in the past year. 2022 Compliance Webinar Trends. AuditBoard’s Most Popular Compliance Webinars of 2022.

Compliance 52

Compliance Equity Technology 52

John Jenkins

OCTOBER 25, 2022

A target’s compliance with laws governing political involvement is an area that doesn’t typically get a lot of attention during M&A due diligence, but this Pillsbury memo says that’s a big mistake, because compliance shortcomings with respect to federal, state or local political laws can result in serious legal and reputational consequences.

Compliance 40

Compliance 40

Audit Board

APRIL 1, 2022

How to Ensure You’re in Compliance with PCI DSS v4.0 — and Beyond. Ensuring compliance with a new compliance regime starts with an in-depth review of the latest version of the standard. Conduct a current state analysis of your compliance with PCI DSS. Blog Compliance

Compliance 98

Compliance Technology 98

Complysci

SEPTEMBER 26, 2022

Dear chief compliance officers, today is your day! Serving as a financial services regulatory compliance professional, you are your firm’s gatekeeper, mitigating risk day in and day out. Advise from fellow chief compliance officers.

Compliance 52

Compliance Equity Marketability 52

Complysci

JANUARY 27, 2023

Annual compliance reviews , a must for all Securities and Exchange Commission (SEC) registered investment advisers (RIA). An increase from previous years, during which only 40% of firms stated they had integrated a regulatory compliance technology to aid with the annual review process.

Compliance 52

Compliance Technology 52

Law 360 M&A

MAY 25, 2022

and its partners have imposed on Russia in recent months pose complex compliance challenges for commercial operations, investments and financial transactions, even when there is not a direct or obvious nexus with Russia, say Anthony Rapa and Matthew Thomas at Blank Rome

Compliance 97

Compliance 97

Complysci

MAY 16, 2022

Compliance requires precisions. Because, at the end of the day, the regulatory landscape will only continue to expand in complexity and a growing firm simply can’t afford to fall out of compliance. Scaling your compliance program. It requires accountability.

Compliance 93

Compliance Technology 93

Complysci

APRIL 21, 2022

Compliance scope. In 2022, the average compliance program oversees cybersecurity, operational resilience and the conundrum that is cryptocurrency. As a compliance professional, your plate runneth over. Those that took a proactive approach to compliance automation.

Compliance 96

Compliance Technology 96

Audit Board

FEBRUARY 23, 2023

In the latest installment in our Spotlight on Success series, Brittany McKinley, Internal Audit Manager at Elevations Credit Union , shares how she leverages AuditBoard’s simple platform to take an agile approach to maintaining compliance with complex financial services regulations.

Compliance 52

Compliance 52

Complysci

FEBRUARY 18, 2022

When deciding on and integrating a new compliance technology, it’s almost too easy to focus solely on your compliance team’s preferences and proclivities without also considering the general employee experience…often to the detriment of your compliance program success.

Compliance 52

Compliance Technology 52

Complysci

JULY 26, 2022

The full FCA strategy encompasses a multitude of regulatory compliance initiatives. Considering the FCA’s robust strategy for 2022 to 2025, firms must take a proactive approach to their compliance program or risk potential enforcement action.

Compliance 94

Compliance Technology Marketability 94