Compliance Stuff

Oversight should sit at decision points where errors carry the highest ethical or legal weight, not on every output As compliance teams experiment with AI for everything from risk assessments to policy interpretation, a practical question emerges: Which tasks can be automated reliably, and which still require human judgment? Steph Holmes, director of compliance and ethics strategy at EQS Group, dives into her organization’s research on six AI models, finding that it excels at rule-driven work but struggles in the gray zone where data meets intent and culture intersects with language. The findings suggest oversight should be strategic, not universal, but there’s no doubt the loop isn’t complete without humans.  When people talk about responsible AI, the concept of “human in the loop” tends to surface quickly, and for good reason. It sounds reassuring, almost self-evident. But as  compliance  teams start experimenting with AI, a practical question emerges: Where in the loo...

In an environment where public scrutiny is high and enforcement expectations are rising, investing in strong corporate ethics and oversight frameworks has become a strategic necessity for public companies. Effective compliance programs are no longer merely regulatory check-the-box exercises. They are essential tools for managing risk, safeguarding reputation, and meeting the expectations of regulators, investors, and other stakeholders. In this Insight, we explore core elements of ethical governance for public companies, focusing on compliance programs, oversight and governance, codes of ethics, reporting mechanisms, investigations, and the nuanced landscape of code waivers and disclosures. COMPLIANCE STILL MATTERS Despite speculation about regulatory fatigue, compliance remains central to corporate governance. As  emphasized by the head of the US Department of Justice’s (DOJ’s) Criminal Division  at SIFMA’s Anti-Money Laundering and Financial Crimes Conference earlier this ye...

In today’s hybrid and remote work environment, organizations are increasingly turning to digital employee management platforms that promise productivity insights, compliance enforcement, and even behavioral analytics. These tools—offered by a growing number of vendors—can monitor everything from application usage and website visits to keystrokes, idle time, and screen recordings. Some go further, offering video capture, geolocation tracking, AI-driven risk scoring, sentiment analysis, and predictive indicators of turnover or burnout. While powerful, these platforms also carry real legal and operational risks if not assessed, configured, and governed carefully. Capabilities That Go Beyond Traditional Monitoring Modern employee management tools have expanded far beyond “punching in,” reviewing emails, and tracking websites visited. Depending on the features selected and how the platform is configured, employers may have access to: Real-time screen capture and video recording Automated t...

I n some companies, hiring interviews include a compliance and ethics component. How should this be done? One fairly common approach is to have interviewees describe a compliance and ethics challenge they’ve faced in a prior job and how they addressed it. (However, interviewers should make it clear that they are not seeking confidential information about any other company or individual.) Another approach is to present the interviewee with a hypothetical ethics quandary and ask how they would deal with it. The benefits of the right questions These approaches do a few things: Help determine whether ethics is a strength or weakness for the candidate, which could impact the hiring decision. Send a message to employment candidates that compliance and ethics are important to the company, which hopefully they will remember if they get the job. Send a message within the company generally—particularly to those who conduct interviews (human resources and others)—that compliance and ethics are es...

  In a shocking turnaround, Republican Donald Trump was swept back into the Oval Office in a wave of voter anxiety about the economy, securing a decisive victory over Democratic Vice President Kamala Harris. Republicans were also able to take back control of the Senate, though outcomes of House of Representatives races were unknown a few days after the election. Trump’s fiery campaign hinged largely on grievance politics and culture war issues, though it seems much of his economic messaging resonated with voters who have been squeezed for years by rising prices and high interest rates.  Any change in the party of the White House occupant poses potential risk for business, but a return to power of the unpredictable Trump could be even more consequential. For example, his pledge to slap broad tariffs on imported goods could trigger a global trade war that leaves American businesses, workers and consumers in the crosshairs and  rattles supply chains . And like most other Re...