Resources

  • Webinar
    Culture work

    Why culture is mission critical to compliance

    - by Vault Platform

    Join global compliance expert Thomas Fox and the London Stock Exchange’s Chief Risk Officer, Maxine Gee, to discuss the growing joint responsibility between Compliance, Legal, and HR for an ethical company culture.

  • 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
    Vault mobile app

    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
    Clock floor, man working

    Impact of Remote Work on Ethics & Compliance

    - by Vault Platform

    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 Vault Platform

    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 Vault Platform

    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 Vault Platform

    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.