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Compliance Perspectives

Compliance Perspectives

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 An SCCE PodcastSociety of Corporate Compliance & Ethics Economía Gestión Gestión y Liderazgo
Episodios
  • Mark Diamond on Rethinking Records Retention [Podcast]

    Mark Diamond on Rethinking Records Retention [Podcast]
    Jun 12 2025
    By Adam Turteltaub Mark Diamond wants you to stop thinking of records retention as a chore and start thinking of it as a driver of compliance. In this podcast the President & CEO of Contoural shares that retention schedules have grown in importance with increased requirements for privacy and safeguarding personal data. That, in turn, is having an enormous impact on the risks and costs of ediscovery. Proper retention schedules also have significant impact on employee productivity and collaboration, as well as using AI in less risky ways. Organizations are now increasingly treating records based on their business value and are developing retention schedules that reflect their worth. One of the greatest challenges they face, though, is the tendency of employees to want to hold onto everything just in case. While it’s understandable, it adversely affects efficiency, as employees are forced to wade their way through obsolete records. Part of the solution, he suggests, is to develop a “super schedule” for document retention. Rather than having multiple different policies which can cause confusion, having one overall policy vastly simplifies things for employees and allows for greater automation. Listen in to learn more, but don’t retain this podcast longer than you should. Listen now Sponsored by Case IQ, a global provider of whistleblowing, case management, and compliance solutions.
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    15 m
  • Nick Gallo on the Controls Paradox [Podcast]

    Nick Gallo on the Controls Paradox [Podcast]
    Jun 10 2025
    By Adam Turteltaub In a recent issue of Compliance & Ethics Professional ®, Nick Gallo, Chief Servant and Co-CEO of Ethico addressed the control paradox, a situation in which the controls designed to prevent misconduct, actually encourage it. Think of it like the person whose car has so many airbags that they no longer fear an accident and drive quicker. So what’s the solution? He argues it’s creating an environment where we have faith in controls, but not too much, and focus on helping those on the front line make the right decisions. That includes, he says, teaching not just what you should do but why. It also means encouraging ownership of ethical issues, not outsourcing it. Listen in to learn more about how to get better control on your controls. Listen now Sponsored by Case IQ, a global provider of whistleblowing, case management, and compliance solutions.
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    13 m
  • Chris Audet on Third Party Risk [Podcast]

    Chris Audet on Third Party Risk [Podcast]
    Jun 5 2025
    By Adam Turteltaub Recently, Gartner released very intriguing research into third party risk. Chris Audet, Vice President and Chief of Research in the Gartner Assurance Practice tell us that they found business has it’s spending all wrong. Too much is invested in due diligence, and not enough time and effort is spent on monitoring. There research found that the business unit knows the risks third parties pose and is seeing it firsthand. When relationship managers were surveyed, 84% had seen changes to the risk profile and 76% found a third party had provided materially inaccurate information. In fact, 95% had seen something troubling in the past year. So why aren’t they reporting this information to the compliance team and what would get them to share more? There were three main answers, Chris reports: Creating more relationship ownership objectivity. Too many feel too strong a tie to the third party. Confidence in identifying red flags. Encouraging objectivity and providing reassurance that compliance won’t over-react. He also advises making it easy for third party relationship owners to contact compliance and to work compliance into the workflow. Listen in to learn more about the benefits of rebalancing the third party risk equation. Listen now Sponsored by Case IQ, a global provider of whistleblowing, case management, and compliance solutions.
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    11 m
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