Compliance or internal audit departments frequently carry out audits intended to assure that business partners in an organization, such as human resources or legal departments, have in place policies ...

In this episode, Michael Volkov dives into the critical components of conducting an internal compliance site visit and review. He highlights the significance of these visits in understanding ...

Every company like to believe that its employees and management are above reproach and would never do something to harm the organization. However, it is also a wise business move to have systems in ...

"… the most important [factor] in determining the amount of the penalty are the seriousness of the offense and the strength of the entity’s commitment to ...

In the world of asset management, compliance is very important. It can range from simple policies set at your business to full-on laws enforced by government agencies, with penalties that range from a ...