Structured change tracking can reduce version confusion and improve SEC Form ADV defensibility. Compliance shouldn’t ...

An effective compliance audit process ensures your company is following regulations and avoiding sanctions. This is especially important in public companies, as these entities are subject to federal ...

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 ...

As cybersecurity threats continue to evolve and target sensitive government information, the protection of controlled unclassified information, or CUI, has become a top priority for the Department of ...

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 ...

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 ...

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 ...

Regulatory compliance is evolving from being merely a regulatory obligation to becoming a driver of business value, with emerging technologies such as AI, cloud computing and advanced analytics ...

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 ...

Plants are using historian and database technology to solve a range of problems, from improving operational efficiency to comparing batches against a “golden batch.” A biotechnology customer of GE ...