Tagged: case management

The Critical Dataset: HR, Hotlines and Incident Management

It is easy to get swept up into compliance trends, prognosticators of the future, and future compliance terms such as “artificial intelligence,” or “blockchain.”  Do not get me wrong, these are the terms for the future and eventually they will be part of common compliance conversations. But sometimes we need to get back to basics.  In some cases, Chief Compliance Officers need to remind themselves...

Incident Management – The New Frontier

Compliance programs are required to create and manage case investigation systems to handle potential misconduct, investigate allegations of wrongdoing and then dispense discipline. Lessons learned from these investigations are valuable sources of information to improve compliance programs. Chief compliance officers play a critical role – either supervising the internal investigation system or coordinating with other functions in the organization to monitor internal investigations. Along the...