General
Rebutting Resistance to Compliance Investments
Earlier this week I visited one of the larger compliance vendors in the market to talk with their sales staff about the pressures compliance officers face. Our discussion quickly centered on two questions. First, why do some companies decide not to invest in compliance capabilities? And second, what are some possible arguments that might change…
Read MoreOh Good Lord, Vendors
Compliance vendors, we need to talk. I can appreciate that selling compliance software is a challenging job, and sales reps need to be creative when trying to reach their compliance officers targets — but do we really need to be clogging companies’ whistleblower programs with product pitches? That, apparently, is the complaint of the week…
Read MoreFive Compliance Issues to Watch in 2025
Welcome to the new year, fellow compliance enthusiasts! As you struggle to answer all those emails and calendar alerts you’ve ignored for the last two weeks, allow me to distract you with some of the bigger issues — like, say, the issues that made it onto the annual Radical Compliance list of compliance events worth…
Read MorePodcast: Preparing for Immigration Compliance
The incoming Trump Administration will bring lots of tumult in 2025, but we can make one safe bet: that immigration compliance will be a top enforcement priority. So today we have another Radical Compliance podcast to unpack what that enforcement wave might look like, and how compliance teams can prepare now for what’s to come. …
Read MoreMetrics for Assessing AML Compliance Program
Financial crimes compliance is not easy, and that’s especially true for fintech firms — young, fast growing, and subject to a complicated thicket of anti-money laundering rules. Building an effective compliance program in that environment is not easy, and compliance officers need to tread carefully to get it right. To that end, in this post…
Read MoreThe Joys of Pre-Acquisition Due Diligence
Few issues can exasperate a compliance officer as much as pre-acquisition due diligence for a business your company wants to acquire. So when I was moderating a webinar last week on compliance issues and conversation turned to that very subject, I took notes. What if, fellow compliance enthusiasts, there’s a better way to look at…
Read MoreCompliance Program Priorities That Endure
’Tis the season for speeches from Justice Department officials, as they reflect on the year’s enforcement activity — and these days, try to establish some sense of continuity even as the incoming Trump Administration portends a very different approach to corporate compliance and regulatory enforcement. Which brings us to a Justice Department speech delivered late…
Read MoreQuestions for Incoming SEC Chairman
Last week President-elect Trump said he will nominate Paul Atkins to be the next chairman of the Securities and Exchange Commission. Now compliance and audit professionals can start considering how an Atkins-led SEC will shape corporate compliance for the next few years, and there are lots of questions to contemplate here. Start with the biographical…
Read MoreFour Reasons to Watch the Adani Case
Sometimes a tale of corporate corruption comes along that perfectly captures all the issues that ethics and compliance professionals face in our line of work. Such is the case with the Adani Group, and compliance officers everywhere should watch it closely; it could be a hugely telling case for corruption enforcement in 2025. By now…
Read MoreThe DOGE Effect on Risk Management
Elon Musk and Vivek Ramaswamy shed more light this week on how they want their Department of Government Efficiency to operate. Their vision shows an alarming lack of understanding about how government operates, so compliance professionals should watch closely for the mess these two might make; you’ll be among the many stuck cleaning that mess…
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