Design thinking is another innovation which can help the Chief Compliance Officer (CCO) move forward in a cutting-edge manner to make a compliance program not only more robust but also operationalize ...

Nasdaq has unveiled the sixth annual Global Compliance Survey, finding that global factors, such as the coronavirus pandemic, were the primary driver of compliance process changes. “In our latest ...

Jim Cochran outlines a step-by-step approach to dealership compliance, showing how education, accountability, and process ...

Starting a new job as a compliance leader can be daunting. Here's what you need to know. Becoming a compliance officer may be a lifelong dream or a goal that evolves over time. Depending on your ...

History - In 2003, Mark Everson, then Commissioner of Internal Revenue, commented ruefully that it took the IRS five years to complete an audit of a corporate tax return. To address the delay, the ...

The compliance process at pharmaceutical manufacturers is complicated because many still use paper-based systems to record manufacturing steps. These paper records are reviewed by FDA auditors to ...

Compliance is the prickly necessity that businesses must address or else face the consequences. Most compliance mandates force the issue by making it cost-prohibitive to be noncompliant. The General ...

RIAs are subject to stringent compliance policies and procedures – fiduciary obligations, disclosure rules, and exams and inspections, to name a few. Often, meeting these requirements eats into the ...

Government and industry need to reach consensus on a supply chain maturity model allowing tech companies to definitively prove they’re in compliance with the recently mandated federal framework for ...

Diana Shaw of Wiley Rein LLP discusses a recent Department of Defense Office of Inspector General audit that identified ...

President and COO of Avalara, a cloud-based compliance solutions provider that helps businesses of all sizes get tax compliance right. Two years ago, the world went online overnight. E-commerce ...

The purpose of the Sarbanes Oxley Act is to prevent fraudulent accounting practices in publicly held corporations. Congress passed SOX in 2002 after a series of accounting scandals duped stockholders ...