Resources

  • Webinar
    opportunity in crisis

    Emerging risks in a post COVID-19 world

    - by Vault Platform

    External risks go beyond the fallout of the pandemic. The list includes not just economic risks, but also a wide spectrum of ESG risks (including societal, geopolitical, technological and environmental) which are not expressed using financial metrics – and yet have very concrete financial consequences.

  • Resources

    Whitepaper: Compliance with the EU Whistleblower Directive

    - by Vault Platform

    On 7 October 2019, the Council of Ministers of the EU adopted a new whistleblower directive (the “EU Whistleblower Directive”), which must be implemented in the EU member states no later than 17 December 2021.

  • Blog

    Financial watchdog cracks down on non-financial misconduct 

    - by Neta Meidav

    Historically, national financial regulators such as the Financial Conduct Authority (FCA) in the UK have been less aggressive in pursuing ‘non-financial’ misconduct than in cases where a client’s money is at stake. But developments at the tail end of 2020 marked a sea change in the focus of the FCA, which we expect to see replicated globally. 

  • Resources

    EHRC guidance on harassment at work and how digital reporting tools help

    - by Vault Platform

    Employment tribunals can consider the EHRC’s guidance in harassment claims but, more importantly, it is expected to form the basis of a new statutory Code of Practice which will have greater legal force.

  • Blog

    Nasdaq sends strong signal on importance of diversity

    - by Neta Meidav

    In a filing with the US Securities and Exchange Commission (SEC) the proposal will require most Nasdaq-listed companies to have at least two diverse directors, including one who self-identifies as female and one who self-identifies as either an underrepresented minority or LGBTQ+. Companies that are not able to meet these requirements must be able to publicly explain why.

  • Remote Work
    stress

    Impact of Remote Work on Ethics & Compliance

    - by James Middleton

    The move to remote work has significant impacts on Ethics & Compliance programs. To study the issue in greater depth, Vault Platform joined an Ethics and Compliance Initiative (ECI) working group looking at the impact of remote work on strategy, risk management, culture, speak up climate and processes, and accountability.

  • Blog
    EU Whistleblowing Directive

    Incoming changes to legislation make whistleblowing more rewarding

    - by James Middleton

    The Securities and Exchange Commission (SEC) will implement new rules to its whistleblower program on December 7, with the goal of increasing both the incentives and awards for external whistleblowers. 

  • Blog
    Jobs for the boys

    Breaking the status quo of gender harassment in business

    - by James Middleton

    Research published by the University of Sydney finds that women working in male-dominated industries – such as investment management, automotive, and airline pilots – encounter gender harassment on a daily basis. 

  • Blog
    esg

    Social and environmental risk is financial risk

    - by James Middleton

    A persistent misconception that is only being very slowly eroded is that prioritizing ethics comes at the expense of financial performance. But the evidence suggests this isn’t the case and ethical health is a good indicator of financial health. 

  • Blog
    Compliance is changing

    Compliance exceptions should not become the ‘new normal’

    - by James Middleton

    When the pandemic first hit businesses had to adapt to survive and as time goes on with no sign of a solution on the horizon many of those ‘quick fixes’ are still in place. But while it’s important for businesses and their respective functions to move with the circumstances, there is a clear requirement for Compliance functions to be aware of new or evolving risks those changes may have presented.