This week we are exploring the recent Securities and Exchange Commission (SEC) Cease and Desist Order (Order) entered into last week with WPP plc, the world’s largest advertising group, for…
This week we are exploring the recent Securities and Exchange Commission (SEC) Cease and Desist Order (Order) entered into last week with WPP plc, the world’s largest advertising group, for…
We now have our second Foreign Corrupt Practices Act (FCPA) corporate enforcement action in 2021. The Securities and Exchange Commission (SEC) entered into a Cease and Desist Order (Order) last…
We conclude our five-part series on ESG and Compliance by looking at the final prong in the StoneTurn ESG Framework, that of Response and Enhancement. Many compliance professionals would see…
We next consider ESG reporting. This may, at first blush appear to be something outside the orbit of the compliance profession, however, upon closer examination, it is precisely what compliance…
We next consider monitoring. You would not be wrong to begin with the adage: “You can’t manage what you don’t measure.” Its central tenet should be a key part of…
Every compliance professional should be aware of what a risk assessment is and its importance in any compliance program. Numerous regulatory frameworks state it be the key foundational mechanism to…
This week I will be considering the role compliance and a Chief Compliance Officer (CCO) should play in a corporate Environmental, Sustainable and Governance (ESG) program. Over this series, I…
I recently had the chance to visit with Tina Rampino, Associate Managing Director at K2 Integrity. We chatted about the big picture on culture. We began with the basics: that…
I recently had the chance to visit with Koby Bambilia, Managing Director, at K2 Integrity. We discussed skills development and regulatory changes, together with tailored and risked based training. Bambilia…
Over a couple of blog posts, I am exploring topics raised in a recent Harvard Business Review (HBR) article, entitled “How to Design an AI Marketing Strategy: What the technology…
