regulation (46)

Other highlights include James Shafe, Head of Consumer and Retail Policy Department, the Financial Conduct Authority, who will share the learnings from the Call for Input on Open Finance, which was published earlier this year on Stage 2. On Stage 3, sponsored by London-based fintech Volt, UK Open Banking Lead at Goldman Sachs Winston Pearson will look into the potential of Open Banking to transform corporate treasury. And on the fourth, which will be the Payments Stage sponsored by Bottoml
Read more…


An Interview with Martin Doucet,  Managing Director, Global Funding and Treasury - Regulatory Optimisation, at National Bank of Canada

Ahead of the Front Office Financial Resource and Capital Optimisation Conference, we spoke with Martin Doucet, Managing Director, Global Funding and Treasury - Regulatory Optimisation, at National Bank of Canada. Martin is dealing with derivatives and financial resource optimisation. He has been in the financial services industry for over 20 years, spending all b

Read more…

NEW: NAVEX Global’s Definitive Guide to
Ethics and Compliance Programmes

An effective ethics and compliance programme is critical to running a productive, reputable and successful business – especially in today’s rapidly-changing environment.

But how can you be sure that your programme meets best practice, has considered al

Read more…
NAVEX Global

2020 Regional Whistleblowing Benchmark Webinar
Preview the 2020 European & APAC report

Webinar: Thursday 8th October // 3pm BST, 4pm CEST

Join NAVEX Global to preview the new 2020 report* to get a regional comparison of the latest whistleblowing trends, enabling your organisation to more accurately benchmark its own whistleblowing hotline programme.

Discover the late

Read more…
NAVEX Global

 2020 Risk & Compliance
Hotline Benchmark Report

Benchmark Your Whistleblower Hotline & Incident Management Program

A steady cadence of analysis and benchmarking of hotline data helps organizations answer crucial questions about their risk and compliance program including:

  • Does our culture support employees who raise concerns?
  • Are our investigations thorough and effective?
  • Do we need more training or updated policies?
  • Do employees know about our reporting channels?

Tracking internal

Read more…

 Dear Global Risk Community member


Save the date on May 14 for our upcoming Master Class on Conflicts of Interest, and hear from leading COI experts Jeff Kaplan and Rebecca Walker, partners of Kaplan & Walker LLP. Get access to 2.5 hours of webinar learning and exclusive resources developed for participants.

Create a Sustainable COI Risk Management Program

Not all conflicts are quantifiable and many may only exist in perception or potentials. This leaves a near infinite number of risk va

Read more…

Following A deep dive into how businesses can ensure they keep up with evolving sanctions regimes with Martha Kliss from UCB, a global organisation within the pharmaceutical industry, we’re continuing to examine the landscape – this time with a practitioner’s views and insight into implementing Anti-Money Laundering (AML) directives.

Olivia Tawadros is a Senior Analyst at UAE’s Financial Intelligence Unit (FIU), who was a key figure in the implementation of the goAML reporting platform, developed

Read more…
NAVEX Global

EU Whistleblower Protection Directive: 6 Key Actions You Need to Take Now

Hello Global Risk Community member,

The EU Whistleblower Protection Directive will be implemented in 2021. Its impact will be far-reaching, as all public and private sector organisations with 50+ employees will be affected.

With the deadline fast approaching, our article identifies the 6 key steps your organisation should take now to prepare for - and comply with - the new Directive.


Read more…



Dear Global Risk Community Member,


The genius of Microsoft Excel for entity management is that it’s easy to use and there are free templates that exist online to get you started.

And yet, research shows that 23% of spreadsheets contain errors, companies spend an average of 18 hours trying to correct these errors and 72% of users regularly email spreadsheets with highly sensitive information, without considering the risk of breaching data regulations.

Download “Microsoft Excel & Entity Man

Read more…
                            A Message From Our Partner
2019 Ethics & Compliance Virtual Conference

You’re invited to join (for free) the 8th annual Ethics & Compliance Virtual Conference!

Mark your calendar for the sessions that interest you most, then listen to the rest of the event on-demand. For the first time, the conference is hosting a dedicated track on integrated risk management to help you streamline processes and holistically treat

Read more…
NAVEX Global

8028296484?profile=originalPrivacy can be a complex task for your organisation, but it can also be a business advantage if handled correctly. NAVEX Global are pleased to introduce our new report Privacy by Compliance.

This report provides the latest insights, market data and industry trends, explained by the industry's leading experts, on how compliance teams are influencing their data governance programmes.

Download this report to find out:

  • How the CCO's role is transforming data privacy risk i
Read more…

                    A Message from our partner

NAVEX Global

Even the most rigid compliance program can’t save your company from all risk. In fact, new research reveals that program success can’t be measured by numbers alone.

The Definitive Corporate Compliance Benchmark Report uncovers key program drivers for an ethical organizational culture and improved business performance.

Download the report to get answers to questions like: 

Definitive Corporate Compliance Program Benchmark Report
  • What elements should my compliance program includ
Read more…

Complimentary Master Class with 2.5 Hours of Learning


Ethics Beyond Compliance: Performance Drivers

Time and time again we have seen compliance programs fail when only focused on a "check the box" solutions. A proactive program comprehensively addresses risk and drives improved culture and ethical performance.

Join our June 18th Master Class to be the first to see brand new findings from the inaugural 2019 Definitive Corporate Compliance Benchmark Report. We"ll focus on all-inclusive perfo

Read more…
A Message From Our Partner
Engaging Tech.JPG

In today's business world, data is a key player and driving force for compliance and competitive advantage. Regulations, governance practices and economics are continually shifting, demanding more adaptability from companies and leaving little room for error. When corporations drop the ball on data, whether it be inaccurate, insecure or sloppy by nature, they lose control and can undermine the very foundation of th

Read more…
Dear Global Risk Community member,
Did you know that 78 percent of companies still rely at least partially on manual compliance processes?
I am pleased to announce the launch of the State of Compliance 2019 report, where you can find more industry insights such as these, and benchmarks to use in defining and building your compliance program.
The report provides a year-over-year comparison of the demands faced by compliance teams, and examines how teams plan to address them.
Download the
Read more…

Attend this webinar  Decoding the DOJ’s Guidelines: An Insider's Guideto get insight into the recently updated DOJ guidance. 


Hear the perspective of Hui Chen, original author of the Department of Justice's compliance guideline, "Evaluation of Corporate Compliance Programs". You'll learn how to translate the questions in the guide into logic you can use to build an effective program.


Date: Wednesday May 15

Time: 10 AM PT / 1 PM ET

Speakers: Hui Chen, former DOJ Compliance Counsel Expert & C

Read more…

Writing an ORSA Report

Insurance regulators have made the Own Risk and Solvency Assessment (ORSA) into one of the global Insurance Core Principles that need to be adopted in all countries.

By Dave Ingram

Several countries have already adopted an ORSA requirement and in all cases, there is a need for a report to share with the regulator that documents the ORSA process.

The ORSA report itself is an example of risk management disclosure. A company that has no history of disclosure of risk management information may struggle

Read more…

Time to revisit rushed Dodd Frank compliance?

Implementation deadlines have been and gone but banks are still living in Dodd-Frank’s shadow. One of the issues is that best practice hasn’t yet been agreed: the regulators still need to clarify standards. This is leaving many fumbling around in the dark for the right route to compliance.

While the regulators iron out the standards, several financial institutions have cobbled together ‘half-way house’ applications so they can tick the compliance box. Some have even resorted to Excel for a quick

Read more…

April 2014 sees the beginning of a new era. An era of consequences, both intended and unintended, heralding a period of increasing centralized power, where understanding the strength of peers will determine success or failure. The month after the latest Comprehensive Capital Analysis Review (CCAR) results, as the Volcker rule becomes law and with single counterparty limits on the horizon, April will also reveal the much-anticipated fourth season of the fantasy HBO series, Game of Thrones (GoT).


Read more…

On 27th February 2014, the National Aeronautics and Space Association (NASA), in a joint mission with the Japan Aerospace Exploration Agency (JAXA) , launched the Global Precipitation Measurement Core, a satellite based observatory designed to provide next generation observations of global snow and rainfall.

 The parallels between space exploration and risk management are many and varied, and a mission designed to track precipitation and increase the predictability of global weather patterns is e

Read more…

    About Us

    The GlobalRisk Community is a thriving community of risk managers and associated service providers. Our purpose is to foster business, networking and educational explorations among members. Our goal is to be the worlds premier Risk forum and contribute to better understanding of the complex world of risk.

    Business Partners

    For companies wanting to create a greater visibility for their products and services among their prospects in the Risk market: Send your business partnership request by filling in the form here!