Regulatory Compliance

On November 15th, the Securities and Exchange Commission (SEC) Office of the Whistleblower (OWB) released its 2021 Annual Report to Congress that reports staggering statistics for FY 2021 and should sound warning bells for organizations’ and their internal reporting systems.

Organizations have a compelling interest in taking diversity, equity and inclusion (DEI) seriously, and in including diverse voices at every rung of the organizational ladder. But how can compliance help advance DEI, and what challenges should they expect?

As the EU Whistleblower Protection Directive comes into force at the end of this year, many affected organizations across the EU will be implementing a whistleblowing program for the first time. How can the new ISO guidelines help organizations develop a compliant response to the incoming EU Whistleblower Protection Directive?

The post-pandemic hybrid workforce introduces new risks and extends existing risks from the reaction to COVID-19. A hybrid workforce also makes compliance requirements – especially HIPAA and CCPA - more difficult.

With less than six months until the December 17th deadline, how are member states progressing with transposition into national law? Find out what obstacles remain and where to look for a leading example.

May is Internal Audit Awareness Month - a time to acknowledge the benefit internal auditors have amid the dramatic rise in cyber risks, data breaches, and high-profile incidents of corporate wrongdoing. Here’s to internal auditors, risk management’s critical third line of defense.

The EU has introduced new legislation to ensure that importers of certain materials originating from conflict-affected and high-risk areas source them responsibly by laying down supply chain due diligence obligations.

In 2021, whistleblowers will come into their own in ways previously unseen. Learn how the EU Whistleblower Law will elevate the status of the whistleblower, increase the role organizations play in bringing unethical behavior to light, and drive standardization and professionalism.

Germany’s “Law to Strengthen Business Integrity” regulates the criminal liability of companies under German law for the first time. The role of compliance management systems will prove crucial. Learn what the law is, what it means for affected companies, and what actions they should be taking now.

A risk-based approach is not new: Identify the greatest risks to your organization and prioritize the related controls, policies, and procedures. This is familiar territory for risk managers, but it may not be for compliance professionals. So, what does this phrase really mean in practice and how can compliance officers conduct risk assessments to identify, quantify and respond to risk?