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Pharmaceutical Executive January 1, 2013 Ben Comer	Compliance in the C-Suite Compliance officers have risen into pharmaceutical management's highest ranks, by choice in some organizations, and by government decree in others. Either way, their importance as a strategic partner can hardly be understated.
Insurance & Technology December 23, 2005	Rethinking Risk Management Many firms have allocated a disproportionate amount of resources to Sarbanes-Oxley compliance, according to a new report.
National Defense January 2015 Ryan Berry & Guy Filippelli	Compliance Programs Need Data Analytics Without data analytics tools, companies remain dependent on human identification of risks and violations. Their compliance efforts often consist only of training employees to spot misconduct, and in setting aside financial reserves to fund expensive, after-the-fact investigations by outside counsel.
Bank Director 4th Quarter 2009 Kenneth L. Glascock	Internal Audit: Boosting Your ROI A high-performance audit function can help the bank and board achieve its risk-adjusted goals.
Pharmaceutical Executive October 1, 2005 Andy Bender	Orchestrating Compliance Product managers at pharmaceuticals are not always happy to see their compliance officers. That may be changing.
Investment Advisor August 2006 Thomas D. Giachett	Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.
OCC Bulletin December 14, 2005	Small Entity Compliance Guide This compliance guide summarizes the obligations of financial institutions to protect customer information and illustrates how certain provisions of the Security Guidelines apply to specific situations.
National Defense March 2010 Fennelly & Epstein	Defense Contractors Must Effectively Monitor Consultants As corporate ethics and compliance programs are reviewed and strengthened to meet increasing competition and government requirements, companies may not recognize the risks posed by consultants and other agents.
National Defense September 2012 Richard L. Moorhouse	Implementing Evolving Disclosure Rules Federal government oversight, scrutiny of contractors and enforcement actions are on the rise.
National Defense February 2009 David H. Laufman	Mandatory Disclosure Regime Raises Stakes for Contractors A new regulatory enforcement regime has now commenced that underscores the Department of Justice's aggressive approach to procurement fraud and dramatically increases the compliance and disclosure obligations of defense contractors.
Bio-IT World January 12, 2004	PDMA Compliance in 12 Steps Prescription Drug Marketing Act violations can cost millions. To save that money, follow this program.
Wall Street & Technology July 27, 2004 Jessica Pallay	Analyzing AML Audits After years of preparation, regulators are ready to see the fruits of Wall Street's hard work on anti-money laundering.
IndustryWeek August 1, 2008	Software License Compliance: By The Numbers Most IT executives believe their companies would fail a software audit.
National Defense September 2005 Shaheen & Geren	Penalties Get Tougher For FCPA Violations The government is cracking down on bribes by government contractors to foreign officials.
Real Estate Portfolio Mar/Apr 2002 Ray Milnes	Audit Committees -- A Perspective on Utilizing Internal Audit Resources A brisk current of regulatory change is sweeping through America's corporate boardrooms aimed at strengthening the independence and effectiveness of corporate audit committees, including those of REITs and other publicly traded real estate companies...
Wall Street & Technology June 21, 2004	Information Nation The keys to information management compliance
National Defense December 2009 McGrath & Connolly	Industry Should Prepare for Review of Ethics Programs Contractors may soon have more complete answers as to how the Defense Department will verify contractor compliance with the Federal Acquisition Regulation's recent ethics program requirements.
Bio-IT World April 15, 2003 Barbara Depompa Reimers	Easing the Pain of Part 11 Costs for complying with FDA electronic records regulations will cost millions of dollars per company by 2006. Risk-based processes can lighten the load.
Wall Street & Technology March 1, 2004	Institutions Find it Tough to Meet Sarbox Deadline As the first deadline for Sarbanes-Oxley compliance of June 15 nears, financial-institutions are finding that complying is more difficult than they had anticipated
Managed Care December 2001 John Carroll	The Coming HIPAA Crisis HIPAA's timetable has been known for years, but many organizations that the law covers are dawdling pitifully in preparing for compliance...
Pharmaceutical Executive January 1, 2012	Compliance: Getting Those Ducks in a Row Pharma must coordinate the efforts of medical, legal, HR, global partners and many other players in the regulatory compliance space to keep itself afloat in choppy seas.
Financial Planning September 1, 2006 Jane Worthington	Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost.
Pharmaceutical Executive September 1, 2005 Wilkenfeld & Braun-Davis	50 5 2005 Five things pharmaceutical companies can do to prepare for compliance in all 50 states.
National Real Estate Investor May 1, 2003 Kenneth F. Schwendeman	On-site Examination An effective way to reduce the risk in acquiring a property and gain negotiating leverage is to include a compliance audit in the due diligence process.
National Defense January 2014 Cannon & Scott	Anti-Bribery Law Demands Vigilance November marked the one-year anniversary of the release of the resource guide to the Foreign Corrupt Practices Act, and should serve to remind all defense contractors of the critical importance of keeping their compliance program current and effective.
Bank Systems & Technology December 21, 2007 Maria Bruno-Britz	PCI Council and Visa See More PCI Compliance Merchants are complying with PCI Data Security Standards now more than ever.
Financial Planning May 1, 2012 Jennifer Woods Burke	Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits.
Managed Care January 2002 Michael Levin-Epstein	HHS Seems To Soften Hard Line on Kickbacks Do two recent advisory opinions from the Health and Human Services Office of the Inspector General signal some moderation in federal policy on what constitutes a kickback? Maybe. Or then again, maybe not...
Wall Street & Technology February 15, 2007 Cory Levine	Paisley Consulting Released Its Enterprise GRC Platform To help firms break down the barriers between audit, risk and compliance groups, Paisley Consulting released its Enterprise GRC (governance, risk and compliance) platform.
Real Estate Portfolio Jul/Aug 2002 Kenneth L. Betts	Avoiding Enron: Counseling the Audit Committee In general, the role of the audit committee is to review the financial operations and statements of a company and to affirm the integrity and accuracy of the preparation and dissemination of that information. Now audit committees need closer observation, support and liability protection.
Managed Care July 2001 John Otrompke	Stark Allows Federal Regulators To Review Claims Records Fully HMO executives, as well as the providers and physicians who contract with them, should have by now felt the changes in their daily work lives resulting from the government's increased scrutiny of health plans' operations under the fraud-and-abuse compliance laws...
Food Processing December 2012 John Petie	How To Prepare for a GFSI Audit This is the shape of things to come, so pick a standard and commit your company. The Global Food Safety Initiative is the result of collaborative efforts between the world's leading food safety experts.
OCC Bulletin November 1, 2001	Third-Party Relationships This bulletin provides guidance to national banks on managing the risks that may arise from their business relationships with third parties...
Pharmaceutical Executive September 1, 2005 Eaton & Levy	Fair Market Value Pharmaceutical companies may soon come under close scrutiny from the Office of the Inspector General, which sees in promotional speaking and advisory services a high potential for fraud and abuse.
Registered Rep. April 1, 2006 Kristen French	Compliance Costs: Double the Trouble In a study conducted in February of this year, the SIA found that annual industrywide compliance costs have nearly doubled in the past three years -- to $25 billion in 2005 from $13 billion in 2002, or 5% of the industry's annual net revenues.
Financial Planning January 1, 2005 Abigail La Croix	5 Questions Michael R. Young, a litigation attorney and partner at New York law firm Wilkie Farr & Gallagher, shares his perspective on financial reporting and the securities industry, with particular emphasis on accounting irregularities.
National Defense May 2011 Dawn M. Lurie	DHS Expands Monitoring of Federal Contractors This initiative includes a sharp focus on employer compliance along with higher fines for those hiring undocumented workers.
Foundation News & Commentary Jul/Aug 2005 Andras Kosaras	Thinking About an Audit? Read This First What kinds of grantmakers get audits and how should a foundation choose an auditor if it opts for this process?
Wall Street & Technology April 14, 2006 Govind Sandhu	Beyond Registration Persistent compliance efforts may be one of the most critical investments in the success of today's hedge funds.
Investment Advisor June 2009 Thomas D. Giachetti	Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.
CFO February 1, 2012 Sarah Johnson	Don't Trust, Verify With antibribery actions on the rise, companies should monitor their business partners more closely than ever.
Investment Advisor April 2007 Kara P. Stapleton	A Compliance Culture Recent NASD actions have led to increased compliance efforts on the part of many independent broker-dealers.
Insurance & Technology June 14, 2005 Wendy Toth	Securing Compliance: System, Project or Process? Database and application security products are growing in popularity as companies look for ways to keep up with regulatory demands like Sarbanes-Oxley.
Investment Advisor October 2007 Melanie Waddell	Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail.
Bio-IT World January 12, 2004 Steve Lefar	Systematize Your Regulatory Info! Want better protection against regulation breaches? Build a system that engenders 'grassroots' compliance.
CFO December 1, 2004 Kate O'Sullivan	Laying Down the Law By naming compliance officers, companies are putting new focus on regulatory issues -- and giving CFOs a break.
Financial Advisor June 2006 Giles Kavanaugh	Revisiting The Real Value Audit The Real Value Audit flows naturally from two of the many value core beliefs of financial advisors. Here's how to jump-start yours.
Pharmaceutical Executive June 1, 2007 Cook & Leiken	Legal: Foreign Policy Drug companies doing business abroad face a special risk of running afoul of stepped-up enforcement of anticorruption laws.
IndustryWeek August 1, 2008 David Blanchard	Portrait of Best-in-Class Global Trade Compliance Trade compliance is taking on more prominence in separating the best companies from the also-rans.
Bank Systems & Technology April 28, 2008 Paul L. Lee	Integrating Systems Essential to AML and SAR Compliance To follow regulators' requirements, banks must leverage and coordinate compliance, risk management and IT department efforts.