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When the Government Comes Knocking
Its 6:15 AM and a knock at the door arouses you from your sleep. In shorts and a tee shirt you go to the door and ask who is there....Read more
Robert Schwartz
General Counsel and Chief Compliance Officer, Deer Park Road Capital Management Company, USA
Compliance with New Anti-Money Laundering Requirements in
New York State
Anti-money laundering requirements, specifically those prohibiting the funding of countries and entities subject to U.S. sanctions laws, continue to be a top priority of bank regulatory agencies in the United...Read more
Bruce Ortwine
General Counsel (retired), Americas; Adviser, Global Legal and Compliance (Retired), USA
From Compliance to Commitment: The Way We Work at Walmart
Walmart was my first introduction to the retail business. Before moving from Houston, Texas, to Bentonville, Arkansas, I spent the prior twenty years working for other large corporations in different...Read more
Daniel Trujillo
Chief Ethics & Compliance Officer Walmart International, Wal-Mart Stores, Inc., USA
6 Steps to Compliance with the DOL Fiduciary Rule or a Uniform Fiduciary Standard
This treatise is designed to provide all financial advisers with practical guidance to achieving compliance with a fiduciary standard of care regardless of their specialty within the financial services industry....Read more
Vince Micciche
CEO and Chief Compliance Officer, LifeMark Securities Corp, USA
Why a Miami Federal Court Ruling Could Affect ADA Compliance Across the US and is the Business World Watching?
A two day bench trial in Miami this past June resulted in a Federal Court ruling the entire business world should pay attention to. This Miami case was on the...Read more
Erika Cappiello
In-house Counsel, South Florida Educational Federal Credit Union, USA
Open Source Software: Compliance and Risk Mitigation
The proprietorship of software was not a familiar concept in the 50’s and 60’s. The hardware and software were seen as an inseparable “system” and the cost for the operating...Read more
Shilpi Sneha
Manager - Legal, Cognizant Technology Solutions, India
Organizational Compliance Failures Quickly Become a Legal Problem
Legal and compliance are two essential functions in any contemporary organizational structure. The specific relationship between these two functions, including reporting lines and division of responsibilities, may well vary depending...Read more
Bruce Ortwine
General Counsel (retired), Americas; Adviser, Global Legal and Compliance (Retired), USA
Next-Level Compliance: What Every Board Member Should Know
This article is geared towards members of Boards of Directors, C-level company leadership, and compliance professionals who recognize the need to continually improve compliance. Why is it important to drive...Read more
Fabiana Lacerca-Allen
Chief Compliance Officer, Cipla, USA
Applying Global Compliance Standards in a Diverse Regulatory Environment
As a global organization operating in 220 countries and territories globally, a major challenge for DHL Express is to establish compliance standards that can be applied globally. At DHL Express...Read more
Phillip Poland
Director, Customs and Regulatory Affairs, DHL Express Americas Region, USA
Common Reporting Standards
The recent spate of news resulting from the leak of over 11 million documents from the Panamanian law firm, Mossack Fonseca, (now commonly known as the Panama Papers or the...Read more
Sören Seitz
Vice President & Chief Compliance Officer, Manulife Asia, Hong Kong
Steven Yeo
Senior Vice President & General Counsel, Manulife Asia, Hong Kong