Use of Monitors in Administrative Proceedings
Jay Rosen considers how an independent integrity monitor can be effectively used in nondisciplinary administrative proceedings. Hospital Conversions Many states ...
Tag: Monitoring
Compliance monitoring is the quality assurance testing carried out over the day to day activities of the business. The compliance monitoring team usually sits as an independent function in the second line of defense and provides assurance to the board that the firm is operating within a compliant framework.
3 Keys to a Successful Cyber Compliance Program and Eliminating a Major Source of Cyber Risk
Most organizations’ security and data protection efforts are seriously lacking – particularly when it comes to the human element. Abacus ...
Book-Ending FCPA Compliance: The Importance of Risk Assessments and Monitoring
Risk assessments and monitoring are essential to any successful compliance program, and as such, they're the two key components FCPA ...
Measure or Die! – Using Metrics To Measure Compliance Performance
In the event you don’t already have a robust and meaningful set of compliance and ethics KPIs at your company, ...
Addressing Geopolitical and Regulatory Shifts
Managing Risk Amid Uncertainty We live in an uncertain world, and it seems to grow more so every day. Jim ...
The Challenge of Auditing and Monitoring Your Distributors
Moving Beyond Routine Contract Provisions If companies are to maintain a commitment to risk mitigation, they must keep an eye ...
