CCI's weekly round-up of GRC news & views
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Mar. 11, 2021

Complying with the CTA's mandated UBO registry will not be a cakewalk. Sujata Dasgupta looks at the challenges of the
new disclosure requirements, their impact on KYC-AML programs, and the steps financial institutions should take to implement this additional source of registry data in their compliance frameworks. Read More...

Yan Tougas, Global Ethics & Compliance Offer at Raytheon Technologies, writes:

When I tell people that changing the culture is an outcome of processes, I often get a faint nod of understanding, mixed with an inquisitive look. They intuitively get it but they are not sure what it looks like in real life. Let me share an example with a process that takes place in the very early stages of employee onboarding. Each month, I ask HR to give me a list of new hires. I then email each new hire and invite them to meet with me over Zoom for 15 minutes (I’ll go back to in-person meetings after the pandemic). During the meeting, I ask them to tell me a little bit about themselves, about the ethics program at their previous employer, and then I tell them about our ethics and compliance program and open it up for questions. Why do I do it this way? Well, let’s look at the alternatives and try to guess which one can lead to a better cultural outcome....Keep Reading

CCPA 2.0 Has Arrived.  Here's What the CPRA Means for You

California’s CPRA, which bolsters its landmark data privacy law, the CCPA, is set to take effect in two years’ time. The update contains important clarifications on various definitions, minors’ data, and the collection and use of personal information.

The SEC’s updated MD&A rules will bring about key changes in financial disclosures, streamlining existing disclosure requirements. The new rules go into effect later this year. Get a jump on the updates to avoid a last-minute crunch.
Join Matt Kelly of Radical Compliance for this expert roundtable next week:
Thursday, March 18 --  10 a.m. PT / 1 p.m. ET

Compliance officers are facing a Channel Explosion: more data streams than ever before. And of course, dealing with this challenge comes amid an increasingly complex regulatory environment and at a time when we're all striving to leverage technology cost effectively.

Join Matt Kelly, Editor & CEO of Radical Compliance, in a lively panel discussion with industry experts Reetu Khosla (EY), Kyle Daddio (FTI Consulting), and Nick Duke (Behavox) as they explore these challenges, seeking answers to question such as:

We'll leave time after the discussion for a participant Q&A. Mark your calendar -- and be sure to share this invitation with your team.

Can't make it? Register anyway, and we'll send you the On-Demand version!

Whistleblowing Service Provider Assessment Guide
Creating effective reporting channels and processes

While some companies seem emotionally tied to telephone hotlines because everybody else has one, or because that's the way they've always done things, only 33 percent of reports globally last year came via telephone, with 65 percent coming through the web or mobile devices.

This new guide from Speeki tells us what to consider when we're determining which reporting channels to use: anonymity, accessibility, multi-lingual, simplicity, expense, future-proofed, etc. Download a copy of the guide

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