Compliance Risk and Collaboration Tools


Last week I spoke on a webinar about the role that compliance officers should play in helping to guide a firm’s electronic communications. After all, coronavirus has forced tens of millions to work remotely, so the use of “collaboration tools” such as Slack, Zoom, Microsoft Teams, and similar apps is soaring.  Well, what are the…

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Tackling AI and Ethics Issues Intelligently


You can learn a lot from Google — including, apparently, how corporations might approach the delicate matter of ethics and artificial intelligence. Because Google tried exactly that not long ago, failed in a painfully public way, and raised numerous AI lessons for ethics and compliance professionals to consider before your company tries this at home.…

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Thoughts on RPA, Compliance & You


Robotic process automation is one of those emerging technologies that everyone loves to talk about implementing, and that many businesses actually are implementing.   So when Protiviti recently published an in-depth report about RPA that explores how to manage the development of RPA within a large enterprise, I read it immediately. Audit, risk, and compliance…

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Five-Part Series on Compliance Technology


Corporate compliance and risk officers work under tremendous pressure today — not necessarily to do more with less, but to do better with what the compliance function has, amid increasingly complex regulatory and business environments. Clearly technology is the answer to that call, but astute use of technology remains challenging. How can risk and compliance…

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Making Compliance Analytics Work


Compliance officers spend more and more time these days thinking about data — how to collect it, how to study it, how to report it. So while I attended the Global Ethics Summit in New York this week (excellent event), I dropped into a panel discussion about how compliance officers can build more effective, data-driven…

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Talking Compliance Analytics at AB-InBev


We have another Radical Compliance podcast today, this time looking at data analytics and integration challenges at the largest beer brewer in the world: Anheuser-Busch InBev. For anyone considering more analytics in your compliance program (which should be all of you) this chat with Matt Galvin, vice president of ethics and compliance at AB-InBev, is…

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Report: Compliance Teams Still Have Money


Thomson Reuters published on Tuesday another cost of compliance survey, this one polling more than 800 compliance executives in financial firms around the world. Among the bits of news: plenty of firms aren’t cutting their compliance staffs and aren’t cutting their budgets. For example, 61 percent of respondents said they expect their budgets to increase…

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Podcast: Materials Declarations and IPC-1754


Our latest Radical Compliance podcast is for heavy industry, aerospace, and defense contractors  grappling with hazardous materials in the supply chain, and the new IPC-1754 standard to simplify the declaration of those materials as you send components along to other parties. The standard is the latest in a family of materials compliance regulations that have…

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Lessons for All From Healthcare Compliance Study


Last week SAI Global released a report on compliance trends in the healthcare sector, with conclusions telling enough that even compliance professionals in other industries should give the report some attention. The lessons and frustrations they feel in that sector might feel familiar. The report polled 388 compliance officers across a range of hospital systems,…

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All the Cool Kids Worry About Fintech Now

Finally, proof that U.S. regulators can grasp new trends or stay current on modern business issues: with startling speed and coordination, every regulator who’s any regulator has started worrying about fintech. “Fintech” is startup-speak for financial technology, a branch of the financial world that was huge already, and for some reason has suddenly captivated regulators attention all over again.…

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