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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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What the Board of Directors Wants to See in Your Security Report

In a recent TechTarget article, Mike Villegas covered a lot of ground while discussing what CISOs should include when reporting to their board of directors. Mike pointed out that the focus of a CISO's security reports, among other things, should be on "current… View More


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Flowchart Friday: Spring Is Here!

Welcome to another of our increasingly unpredictable Flowchart Fridays! It's Friday and Spring is finally here so most of our brains are slowly slipping out our ears and trying to pry the office window open to make a break for it. But it's also time to think about Spring cleaning so we can feel refreshed, renewed and ready for a  productive few months before Summer gets here. We've assembled a few helpful Spring… View More


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Still Attaching Forms to Emails? Read this.

  Ah, the email attachment. As much as businesses have tried to move to content management and file storage systems, the email attachment remains the go-to way of sharing files. Even when someone can simply point to a document sitting in a system like DropBox, Box.com, etc. often they find the path of least resistance is to simply attach the file and let it fly. However, my real attachment issue is less about the… View More


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