compliance
June 19, 2017 Ethics &Compliance Matters ™, Navex Global ® Business and Legal Issues, Corporate Administration, Corporate Administration and Legal Matters, Corporate Governance, Leadership and Management, Not for Profit, Volunteers and Employee Relations,
All of these tips seek to offer ways to make policies and procedures better, but the most important tip is that policies and procedures should not be managed in a vacuum. They are an important element of an effective compliance program without regard to what compliance guidance your organization follows. Ignoring policies can negatively impact compliance conduct, training, monitoring and auditing, investigations – and most importantly and ultimately – the reputation of an organization.
compliance, Foreign Corrupt Practices Act, harassment claims, harassment policy, Policies, policies and procedures, policy management systems, policy statement
September 2, 2014 Jeffrey Sherman Anti-spam, Do-not-Call, Business and Legal Issues, Corporate Administration, Corporate Governance, E-Commerce, IT, Privacy and Security, Privacy Compliance and Management, Sales, Marketing and Operations, Social Media/Social Networking, Systems and Data Management
It should be clear that managing your anti-spam obligations will mean modifying your information technology processes. The CRTC has created comprehensive anti-spam guidelines that demonstrate some of the ways IT will be involved…
anti-spam, auditing, Canada anti-spam legislation, Canadian Radio-television and Telecommunications Commission, CASL, commercial electronic message, complaint-handling, compliance, corrective action, CRTC, CRTC guidelines, Information Technology PolicyPro, ITPP, monitoring, policies and procedures, record keeping, risk assessment, senior management, social media, training, written policy
November 18, 2013 Adam Gorley Corporate Governance, IT, Privacy and Security, Not for Profit
Starting November 30, 2013, British Columbia’s government will waive the $20 criminal record check fee for not-for-profit organizations that participate in a program that also offers free expert advice. Under BC law, employers in the volunteer and not-for-profit sector must obtain criminal record checks for job and volunteer candidates if they will work with children or vulnerable adults. The province’s criminal record check program aims to alleviate the financial burden associated with the law.
background check, BC, BC Criminal Records Review Act, Bill 11, British Columbia, compliance, criminal record check fee, criminal record check verification, criminal record checks, Criminal Records Review Act, Criminal Records Review Amendment Act, employee criminal record checks, employment background checks, employment law, employment-related record checks, job applicant, job candidate, police checks, police record checks, portable criminal record check, portable record check, redundant check, risk assessment, volunteer, volunteer candidate, vulnerable adults, vulnerable sector, working with children, working with vulnerable persons
November 4, 2013 Jeffrey Sherman Corporate Governance, IT, Privacy and Security, Sales, Marketing and Operations
One of the key elements needed to ensure accountability is reporting the right statistics and metrics. Each user department is responsible for ensuring that its information technology needs are addressed, and the IT department is responsible for providing overall cost-effectiveness, quality and coordination. The IT department can play its role by ensuring that IT metrics are captured and disseminated. User departments and the IT department must both be involved; neither may be permitted to abdicate its responsibilities.
benefits delivery, COBIT 5, compliance, data capacity, estimating resource requirements, future functional requirements, governance framework, implementation, Information Technology PolicyPro, IT accountability, IT compliance, IT controls, IT department, IT governance, IT infrastructure, IT measurement, IT planning, IT priorities, IT strategy, ITPP, managing relationships, metrics, needs evaluations, network capacity, planning cycle, planning process, priorities, processing requirements, processor memory, resource capacity, resource optimization, resource usage, risk optimization, statistics, systems requirements, technical support, upgrading IT infrastructure, user support
October 7, 2013 Jeffrey Sherman Corporate Governance, Finance and Accounting, IT, Privacy and Security, Not for Profit
In Canada, employees have the right to access information in their personnel and payroll files, provided that it does not interfere with another employee’s privacy rights.
access to information, accountability, accuracy, challenging compliance, compliance, consent, destroying information, disclosure and retention, employee access to information, Employee records, employment law, Employment records, HR Law, identifying purpose, individual access, limited collection, limited use, openness, Payroll, payroll information, Personal Information Protection and Electronics Documents Act, PIPEDA, policy, privacy practices, privacy principles, privacy rights, private sector privacy legislation, safeguards, substantially similar legislation
August 26, 2013 Adam Gorley Corporate Governance, Environmental Issues, Sales, Marketing and Operations
A series of explosions at Sunrise Propane’s north Toronto operation in 2010 resulted in the deaths of an employee and a firefighter, forced thousands of nearby residents from their homes and caused millions of dollars in damage. In the aftermath, the company failed to comply with various provincial officer’s orders under the EPA, and at trial the Ontario Court of Justice found the company failed to properly train the employee who died and failed to take reasonable precautions to prevent the explosions under the Occupational Health and Safety Act…
compliance, directors' liability, due diligence, due diligence defence, emergency response, Environmental Protection Act, EPA, failure to provide appropriate training, foreseeability, gas leak, liability of directors of the corporation, Ministry of the Environment, mistaken legal advice, north Toronto, Occupational Health and Safety Act, OHSA, propane, propane explosion, propane filling plant, provincial officer's order, regulatory requirements, sentencing, Sunrise Propane, Technical Standards and Safety Authority, TSSA
July 3, 2013 Jeffrey Sherman Corporate Governance, Finance and Accounting, IT, Privacy and Security, Not for Profit, Sales, Marketing and Operations
There are hundreds of thousands of federal, provincial and municipal statutes and regulations. Laws and regulations exist for virtually every aspect of an organization’s operations—incorporation, employment, safety, environmental, contracts, intellectual property, privacy and so forth. Organizations of all sizes need to be aware of their legal environment and regulations and laws that affect them…
board liability, charity law, charity registration, compliance, crisis management, gifting scheme, government websites, How can I identify legal risks?, industry association, insurance, intellectual property, legal requirements, legal risk, legal risk management, liability, multiple corporations, regulations, risk management, tax avoidance
April 29, 2013 Adam Gorley Corporate Governance, Finance and Accounting
When I think about taxes—as one can’t help around this time of year—I find it nearly impossible not to think about the trouble our representatives put us through—not only in tax season, but throughout the year. Except for a few lucky individuals, taxes are confusing; if they weren’t, we wouldn’t need a massive (and growing) class of citizens to explain them to us—or to simply take them out of our hands. And when politicians say they want to make taxes simpler or less burdensome—and they often do say these things—they almost always want to add some tax measure or another (i.e., complicate matters) rather than take any away (i.e., simplify).
bureaucracy, business number, Canada Revenue Agency, compliance, CRA, federal business number, G-7, Goods and Services Tax, GST, harmonized sales tax, HST, My Business Account, red tape, red tape reduction, small business, Streamlined Accounting, Streamlined Accounting Thresholds, tax compliance, tax season, Taxes
January 16, 2013 Adam Gorley Anti-spam, Do-not-Call, Business and Legal Issues, Corporate Governance, E-Commerce, Finance and Accounting, IT, Privacy and Security, Not for Profit, Sales, Marketing and Operations
It feels like we’ve been saying this for years now, but, as we reported again last Monday. Canadian businesses can expect new legislation governing commercial electronic communication and spam in the coming months.
anti-spam legislation, anti-spam regulations, business, Canadian anti-spam legislation, Canadian Radio-television and Telecommunications Commission, CEMs, commercial electronic message, commercial electronic messages, compliance, compliance plan, consent, CRTC, electronic commerce, email, express consent, implied consent, Industry Canada, mechanism to unsubscribe, online, spam
December 19, 2012 Ron Richard Corporate Governance, IT, Privacy and Security, Sales, Marketing and Operations
Privacy practices, and all things mobile, are both hot topics these days. This is in part because mobile devices and apps are fun, cool, provide value, and are on the rise. They are used by professionals of all types, and people of most any age, including our youth. This however feeds the assumption that technology in general, including mobile devices and apps, is threatening the privacy rights of individuals.
Absolute Software, accessing collected data, compliance, data collection, information is being collected, mobile app developers, mobile applications, Mobile apps, mobile devices, Office of the Privacy Commissioner of Canada, PIPA, PIPEDA, privacy law, privacy legislation, privacy management program, privacy policy, privacy practices, privacy protection, risk management, Seizing Opportunity: Good Privacy Practices for Developing Mobile Apps’, technology, usage and flow, used and disclosed
March 19, 2012 Adam Gorley Finance and Accounting
The Financial Services Commission of Ontario (FSCO) is proposing a risk-based system of regulating pension plans. Essentially, this means improving risk assessment and monitoring, following five principles…
compliance, Financial Services Commission of Ontario, FSCO, pension reform, pension regulation, pensions, regulatory response, risk impact, risk management, risk-based, Risk-Based Regulation Framework
November 15, 2011 Adam Gorley IT, Privacy and Security, Sales, Marketing and Operations
When was the last time you read a privacy policy? I use dozens of online services—email, social networking, data storage, banking, photos, shopping, etc.—and I’ve only skimmed a couple. What does this mean for the companies that offer these services? Can they reasonably say that they have informed their users of the content of their policies, if most users simply click “Okay” without bothering to read the things?
cloud computing, compliance, data storage, email, mobile devices, mobile technology, mobile users, New York Times, online banking, online services, online shopping, plain language, privacy policy, privacy tools, social media, social networking
July 25, 2011 Adam Gorley Corporate Governance, Finance and Accounting, Not for Profit
Charity and non-profit lawyer Mark Blumberg offers a compliance checklist for Canadian charities via the GlobalPhilanthropy.ca charity assistance project.
charity, compliance, disbursement quota, donation receipts, ensuring correct information, fapp, Finance and Accounting PolicyPro, fundraising, GlobalPhilanthropy.ca, Information Technology PolicyPro, ITPP, maintaining legal status, Mark Blumberg, non-charitable activities, non-qualified donees, not-for-profit governance, not-for-profit policypro, NPPP, registered charity, religious school tuition, risk management, T3010, tax shelters
June 20, 2011 Adam Gorley Corporate Governance, Finance and Accounting, IT, Privacy and Security, Not for Profit, Sales, Marketing and Operations
Chances are you’re no stranger to electronic funds transfers. Broadly speaking, an EFT can mean any type of standard non-paper payment, including debit and credit card payments, email or wire money transfers (both domestic and international) and direct payroll deposits. Most organizations handle at least some of these transactions every day. The key question for businesses is: How do you keep track of these electronic transfers and, if necessary, register them with the Financial Transactions and Reports Analysis Centre of Canada?
compliance, credit card, debit card, direct deposit, EFT, electronic funds transfers, fapp, Finance and Accounting PolicyPro, Financial Transactions and Reports Analysis Centre of Canada, FINTRAC, money laundering, money transfers, Reporting, security threats, terrorist activity financing
June 6, 2011 Adam Gorley Finance and Accounting
Canadians are pretty good at creating businesses that last, according to a new study by the Chartered General Accountants’ Association of Canada. Around 85 percent of new Canadian businesses survive for a year, 62 percent make it at least three years and 51 percent are still going after five years. The Business Development Bank of Canada puts this last number above 66 percent.
BDC, bureaucracy, Business Development Bank of Canada, CGA-Canada, Chartered General Accountants’ Association of Canada, compliance, education, entrepreneurs, income tax, Industry Canada, innovation, national entrepreneurship strategy, productivity, red tape, regulatory compliance, skilled labour, small and medium enterprises, small business, small business financing, SMEs, tax, tax compliance, training
