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Making it Easier for Employees to Blow the Whistle Internally

  With what seems to be an ever-growing focus on corporate governance, companies in any industry are under increased pressure to not only follow the letter of the law, but also the spirit of industry rules and regulations. In addition to serving end clients or corporate shareholders, companies need to satisfy auditors and regulators alike. In a perfect world, everyone would do everything right, all the time. Of course, as… View More


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BPM Guide (Part 2): Enterprise Process Management is Imperative for Every Organization

This is a guest series by Joanne Wortman, an independent business/technology consultant and freelance writer in the NY Metro area. She has almost two decades of experience providing business process optimization, organizational change management, M&A integration, and program management across many business sectors, with a concentration in manufacturing. In our previous post, we introduced the concept of Business Process… View More


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The Complete Guide to Business Process Management: Introduction

Note: The entire BPM Guide can now be viewed or downloaded for free here. This is a guest series by Joanne Wortman, an independent business/technology consultant and freelance writer in the NY Metro area. She has almost two decades of experience providing business process optimization, organizational change management, M&A integration, and program management across many… View More


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Do You Have a "Culture of Compliance?"

Our compliance subject matter expert, Cindy Cook DeRuyter, just published a great article on Corporate Compliance Insights called "Baking Compliance, Ethics and Audit into the Corporate Pie." In it she discusses the concept of fostering… View More


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How Quickly Does Your Organization Make Decisions?

For most organizations, decisions are rarely made in a vacuum. Organizations require some level of structure to ensure corporate policies are adhered to and critical decisions receive the proper checks and balances before action is taken. Sometimes this is due to regulatory or compliance pressure, sometimes it’s simply organizational due diligence. In many cases, decisions are synonymous with “approvals.” Someone has made a… View More


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Incident Response Plans in Healthcare: Can IRPs Be Automated?

Under the HIPAA Breach Notification Interim Final Rule (PDF), healthcare organizations are required to document the investigation, incident risk analysis, and burden of proof following the discovery of a breach of unsecured protected health information. Accordingly, an Incident Response Plan (IRP) is essential for hospitals, covered entities (and now their business… View More


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Compliance Technology, DOJ Investigations & the Yates Memo

Note: This is a guest post by Cindy Cook DeRuyter who spent more than 19 years in financial compliance and operations roles for firms including RSM Wealth Management, Nuveen Investments and US Bancorp Asset Management It has been almost eight months since U.S. Deputy Attorney General, Sally Quillian Yates, issued a memo titled "Individual… View More


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Ensuring Compliance by Improving User Experience

Note: This is a guest post by Cindy Cook DeRuyter who spent more than 19 years in financial compliance and operations roles for firms including RSM Wealth Management, Nuveen Investments and US Bancorp Asset Management Whatever your industry or line of business, you likely have certain compliance requirements you need to follow. Whether those are HR requirements driven by labor laws, regulatory in nature… View More


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Reduce "Failure to Supervise" Risk with Workflow Automation

Note: This is a guest post by Cindy Cook DeRuyter who spent more than 19 years in financial compliance and operations roles for firms including RSM Wealth Management, Nuveen Investments and US Bancorp Asset Management For compliance officers of broker-dealers and investment advisers, the threat of “failure to supervise” charges from regulators is very real. When a supervisor or compliance officer is… View More


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Every Compliance Officer's Best Friend: Automated Compliance Workflow

While workflow automation has many applications and provides benefits for everyone in an organization, it is arguably every compliance officer's best friend. Regardless of industry, the compliance function is responsible for ensuring that the company's policies and procedures are designed to comply with applicable laws and regulations, and ensuring that those policies and procedures are followed. There's a… View More


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