How to assess legal and compliance risks with the new ISO 31022
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La nueva ISO 31022 proporciona a los oficiales de cumplimiento una guía internacional para identificar, evaluar y gestionar riesgos legales de manera probabilística usando análisis de árboles de decisión y simulaciones de Monte Carlo. La ISO 31022 también requiere el uso de la mejor información disponible de reclamos, litigios y otros datos para respaldar decisiones consistentes, separando así a los charlatanes de los verdaderos profesionales del cumplimiento.
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Prof. Hernan Huwyler IE Law School - AI Risks and Controls.pdf
Overview of the potential risks and challenges associated with the development and deployment of AI systems, as well as the recommended controls and best practices to mitigate them. The presentation covers the following topics:
Design risks: These are the risks related to the design and specification of the AI system, such as lack of clarity, alignment, or validation of the objectives, assumptions, or constraints of the system. Some of the factors that contribute to these risks are:
Inadequate or ambiguous problem definition
Unrealistic or conflicting expectations or requirements
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Some of the recommended controls for these risks are:
Define the problem and the scope of the system clearly and explicitly
Involve relevant stakeholders and experts in the design process
Use appropriate methods and metrics to test and evaluate the system’s performance and robustness
Document and communicate the system’s objectives, assumptions, limitations, and uncertainties
Provide mechanisms to explain or justify the system’s outputs or decisions
Data risks: These are the risks related to the data used to train, test, or operate the AI system, such as data quality, availability, security, or privacy issues. Some of the factors that contribute to these risks are:
Incomplete, inaccurate, or outdated data
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Unauthorized access, modification, or disclosure of data
Violation of data protection laws or ethical principles
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Collect, store, and manage data in a secure and compliant manner
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Protect data privacy and confidentiality through data anonymization, encryption, or aggregation
Respect data rights and consent of data subjects and providers
Operation risks: These are the risks related to the operation and maintenance of the AI system, such as system failure, malfunction, or misuse. Some of the factors that contribute to these risks are:
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Asociacion Profesionistas de Compliance - Initiatives to Reduce the Cost of C...
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Prof. Hernan Huwyler's slideshare discusses in detail five key actions that organizations can take to reduce compliance costs. These actions are designed to help organizations increase their compliance efficiency, reduce compliance risks, and lower compliance costs.
The first action proposed by Prof. Hernan Huwyler is to designate local managers as compliance representatives in business units. This helps to amplify control while reducing the compliance function's structure. By designating local managers as compliance representatives, organizations can have a more effective compliance structure with fewer resources. Local managers can act as compliance ambassadors and help ensure that the organization's compliance policies and procedures are followed in their business units.
The second action proposed is to quantify compliance risks and price potential claims, compensations, fraud, and revenue losses due to noncompliance. By quantifying compliance risks, organizations can better understand the potential costs of non-compliance and allocate resources accordingly. This can also help organizations prioritize their compliance efforts and ensure that they are focusing on the most significant compliance risks.
The third action is to assign the testing of compliance controls to process owners and outsourcing service providers. This helps to distribute the responsibility for compliance testing and can reduce the workload of the compliance function. By assigning compliance testing to process owners, organizations can ensure that compliance controls are tested regularly, and issues are identified and addressed promptly.
The fourth action proposed is to embed efficient controls in clearly articulated procedures. By embedding controls in procedures, organizations can ensure that compliance requirements are met consistently and effectively. Efficient controls can help organizations streamline compliance processes and reduce compliance costs.
Finally, the fifth action is to add requirements for compliance skills when recruiting legal and financial managers in business units. This helps to ensure that compliance is a consideration when recruiting new managers. By ensuring that managers have the necessary compliance skills, organizations can better integrate compliance into their business operations and reduce the risk of non-compliance.
In addition to these five actions, the slideshare also suggests other recommendations, such as delegating compliance consultations, audits, and due diligence, benchmarking the scope of risk assessments, and implementing policies to simplify wording and articulation of procedures. Additionally, the slideshare recommends coordinating actions with business units to assess, implement, measure, and reward cost reduction initiatives. By following these recommendations, organizations can reduce their compliance costs while maintaining effective compliance programs.Model to Quantify Compliance Risks.pdf
This Slideshare presentation by Professor Hernan Huwyler discusses a model to quantify compliance, legal, and contractual risks. It highlights the importance of understanding the impact of uncertainty on objectives and identifies mandatory and voluntary compliance objectives. The presentation discusses different techniques to quantify risks, such as heatmaps, risk matrices, common malpractice, scores, and escalation matrices, and the problems with these techniques, such as biases, incomplete data, and aggregation issues. The presentation proposes a compliance risk modeling approach, which involves understanding the distribution of events, consequences, impact, causes, and frequency of risks. It suggests using different probability distributions, such as log-normal, Pareto, normal, Poisson, Bernoulli, and triangular, to model risks. The presentation also discusses the chain of events that can lead to different types of losses, including penalties, compensations, fines, sanctions, legal and remediation costs, loss of customers, marketing depreciation, loss of licenses, and stock price. It explains different techniques to model losses, such as graphs, decision trees, Monte Carlo simulations, and calibrated estimates. Finally, the presentation highlights the importance of using different sources of risk data, including internal and external data, paid compensations, fines, and credits, fraud losses, legal fees, and complaints, and industry studies, enforcement trackers, and case analysis. It also provides examples of business cases related to compliance objectives and contractual clauses that set penalties for non-compliance. The presentation concludes with a demo of the proposed model to quantify compliance, legal, and contractual risks.
Prof Hernan Huwyler MBA CPA - Ditch your Heat Maps
The summary is about an upcoming Safety Roundtable event on the topic of "Ditch your heat maps" presented by Professor Hernan Huwyler, MBA CPA. The event aims to help attendees transform their approach to safety risk management by moving away from subjective measures such as colours, adjectives, and heat maps, and instead focusing on a data-driven model to quantify and manage operational risks.
The event emphasizes the importance of using data and financial information to inform decision making in order to minimize biases and justify investments. Attendees will gain insights on a quantitative model that will help them measure, visualize, and manage operational risks, as well as tips to reduce risk, enhance insurance and protection, and control investment.
The event is relevant to anyone interested in risk management, insurance, and safety, and aligns with ISO 31000, the international standard for risk management. The event includes a Q&A session at the end, providing attendees with the opportunity to ask questions and share their perspectives.
Overall, the Safety Roundtable event promises to be a valuable opportunity to learn from Professor Hernan Huwyler's insights, network with other professionals interested in risk management, and gain practical knowledge on how to improve safety risk management practices using a data-driven approach.
Profesor Hernan Huwyler MBA CPA - Operacional Compliance
Obtaining resources, planning actions, and budgeting are essential for any organization's successful compliance management. Compliance management is the practice of ensuring that a company adheres to regulatory requirements and internal policies. This summary will explore key considerations for planning compliance initiatives, evaluating regulatory requirements, stakeholder needs, and developing a timeline of activities. It will also cover how to detect corruption and fraud schemes, control representation expenses, and prevent over-invoicing. Finally, we will discuss fraud impact and controls and how to demonstrate the return on investment in compliance.
To begin with, it is crucial to obtain resources to initiate compliance management. The compliance team should have adequate resources to ensure that the organization is compliant with regulatory requirements. The resources should include trained personnel, financial resources, software, and hardware, among others. After obtaining resources, the next step is planning actions and budgeting. Planning should involve various stakeholders and departmental heads to ensure that all areas of the organization are covered. Planning actions and budgeting should include developing a compliance plan, identifying potential compliance risks, and developing mitigation strategies.
While planning compliance initiatives, it is essential to evaluate the regulatory horizon, stakeholder needs, open items, and new strategies. The regulatory horizon involves understanding the regulatory landscape, identifying new regulations, and monitoring the existing ones. Stakeholder needs involve understanding the needs of all stakeholders, including shareholders, customers, and employees. Open items are compliance issues that are unresolved, and new strategies are measures that an organization intends to take to comply with regulations.
Developing a timeline of activities to address certifications and audit needs is critical. A timeline helps to ensure that an organization is compliant with regulations within the stipulated timeline. The timeline should involve developing a compliance plan, identifying potential compliance risks, and developing mitigation strategies. It should also include training employees on compliance, conducting regular internal audits, and reviewing the compliance plan to ensure that it is up to date.
Demonstrating the return on investment in compliance is essential. A return on investment (ROI) helps to justify the resources that an organization invests in compliance. Demonstrating ROI involves identifying the costs of compliance management, such as personnel, software, and hardware costs. It also involves identifying the benefits of compliance management, such as reducing the risk of regulatory fines and reputation damage.
Hernan Huwyler - IE Compliance Corporate Risk Management Full 2023
Compliance risk is the risk of failing to comply with laws, regulations, standards, and guidelines that organizations are subject to. Noncompliance risks can lead to legal, financial, and reputational consequences. Compliance officers play a critical role in identifying, assessing, and managing compliance risks. Compliance risks can also present opportunities for organizations to improve their practices, enhance their reputation, and gain a competitive advantage.
ISO 37301 is a standard that provides guidance on compliance management systems. The standard defines compliance risk as the risk of noncompliance with laws, regulations, and other requirements that an organization is obligated to comply with. Compliance risks can arise from internal and external factors, such as changes in laws and regulations, new business operations, third-party relationships, and cultural differences. ISO 37301 emphasizes the importance of managing compliance risks through a systematic and proactive approach that includes risk assessment, risk treatment, monitoring, and review.
Compliance officers serve as trusted advisors to senior management and provide guidance and support in compliance planning and decision-making. Compliance officers need to have a deep understanding of the organization's operations, risks, and culture to identify and manage compliance risks effectively. Compliance officers should also have strong communication and interpersonal skills to build relationships with stakeholders, including senior management, employees, regulators, and other external parties.
The level of compliance risk varies depending on the nature, complexity, and scale of an organization's operations. Compliance risks can be classified into three levels: low, medium, and high. Low-risk compliance activities are routine and have little impact on the organization's operations or reputation. Medium-risk compliance activities are more complex and involve higher stakes, such as regulatory compliance, data privacy, and anti-corruption. High-risk compliance activities involve significant legal, financial, and reputational consequences, such as anti-money laundering, anti-bribery, and sanctions compliance.
Compliance risks can also present opportunities for organizations to improve their practices, enhance their reputation, and gain a competitive advantage. For example, a company that implements strong data privacy practices can enhance customer trust and loyalty. A company that complies with anti-corruption laws can reduce legal and reputational risks and attract socially responsible investors. Compliance officers should work with senior management to identify and leverage compliance risks as opportunities to create value for the organization.
Compliance risk, noncompliance, ISO 37301, compliance officer, trusted advisor, risk level, opportunities, regulatory risks, obligations, ethical risks, inherent risks, residual risks, risk-taking, tolerance, control level, sustainability
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Compliance and the russian invasion - Prof Hernan Huwyler
Support Ukraine from compliance 🇺🇦 Join our free special webinar to get practical tips on how to
- adjust due diligence to address new global sanctions, export controls, and trade restrictions
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- apply measures to support affected employees and the Ukrainian people
- prepare for possible Russian cyber and commercial attacks
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Join here https://lnkd.in/ec6qP4A
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Stronger 2021 Building the Blocks to Quantify Cyber Risks - Prof hernan huwyler
Stronger 2021 Building the Blocks to Quantify Cyber Risks - Prof hernan huwylerHernan Huwyler, MBA CPA
I am honored and humbled to have been given the opportunity to discuss practices to address cyber risks at the 2021 STRONGER conference hosted by CyberSaint Security (Sep 28, online). I will discuss the building blocks to quantify and communicate risks to protect IT assets, processes, and services. Thanks to Ethan Bresnahan for the flawless preparation of the event.
You are welcome to register here https://lnkd.in/eitKYDsX
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Lean more: https://lnkd.in/gezyzmgn
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It was a pleasure to moderate a workshop to assess cyber security risks hosted by Strategy Insights. We discussed options and practices to quantify confidentiality, integrity, and availability risks with delegates of the big players in the pharma, banking, retailing, and service sectors in the Nordics.
Thanks to Anna Rose Poyntz, Finlay Wilson, and Edgar Baier for the event coordination.
Round tables https://lnkd.in/e_m5eTW5
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Prof. Hernan Huwyler IE Law School - AI Risks and Controls.pdf
Overview of the potential risks and challenges associated with the development and deployment of AI systems, as well as the recommended controls and best practices to mitigate them. The presentation covers the following topics:
Design risks: These are the risks related to the design and specification of the AI system, such as lack of clarity, alignment, or validation of the objectives, assumptions, or constraints of the system. Some of the factors that contribute to these risks are:
Inadequate or ambiguous problem definition
Unrealistic or conflicting expectations or requirements
Insufficient or inappropriate testing or evaluation methods
Lack of transparency or explainability of the system’s logic or behavior
Some of the recommended controls for these risks are:
Define the problem and the scope of the system clearly and explicitly
Involve relevant stakeholders and experts in the design process
Use appropriate methods and metrics to test and evaluate the system’s performance and robustness
Document and communicate the system’s objectives, assumptions, limitations, and uncertainties
Provide mechanisms to explain or justify the system’s outputs or decisions
Data risks: These are the risks related to the data used to train, test, or operate the AI system, such as data quality, availability, security, or privacy issues. Some of the factors that contribute to these risks are:
Incomplete, inaccurate, or outdated data
Biased, unrepresentative, or irrelevant data
Unauthorized access, modification, or disclosure of data
Violation of data protection laws or ethical principles
Some of the recommended controls for these risks are:
Collect, store, and manage data in a secure and compliant manner
Ensure data quality, validity, and reliability through data cleaning, verification, and auditing
Ensure data diversity, representativeness, and relevance through data sampling, augmentation, and analysis
Protect data privacy and confidentiality through data anonymization, encryption, or aggregation
Respect data rights and consent of data subjects and providers
Operation risks: These are the risks related to the operation and maintenance of the AI system, such as system failure, malfunction, or misuse. Some of the factors that contribute to these risks are:
Hardware or software errors or defects
Environmental or contextual changes or uncertainties
Adversarial or malicious attacks or manipulations
Unintended or harmful consequences or impacts
Some of the recommended controls for these risks are:
Monitor and update the system regularly and proactively
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Detect and prevent potential threats or vulnerabilities
Asociacion Profesionistas de Compliance - Initiatives to Reduce the Cost of C...
Asociacion Profesionistas de Compliance - Initiatives to Reduce the Cost of C...Hernan Huwyler, MBA CPA
Prof. Hernan Huwyler's slideshare discusses in detail five key actions that organizations can take to reduce compliance costs. These actions are designed to help organizations increase their compliance efficiency, reduce compliance risks, and lower compliance costs.
The first action proposed by Prof. Hernan Huwyler is to designate local managers as compliance representatives in business units. This helps to amplify control while reducing the compliance function's structure. By designating local managers as compliance representatives, organizations can have a more effective compliance structure with fewer resources. Local managers can act as compliance ambassadors and help ensure that the organization's compliance policies and procedures are followed in their business units.
The second action proposed is to quantify compliance risks and price potential claims, compensations, fraud, and revenue losses due to noncompliance. By quantifying compliance risks, organizations can better understand the potential costs of non-compliance and allocate resources accordingly. This can also help organizations prioritize their compliance efforts and ensure that they are focusing on the most significant compliance risks.
The third action is to assign the testing of compliance controls to process owners and outsourcing service providers. This helps to distribute the responsibility for compliance testing and can reduce the workload of the compliance function. By assigning compliance testing to process owners, organizations can ensure that compliance controls are tested regularly, and issues are identified and addressed promptly.
The fourth action proposed is to embed efficient controls in clearly articulated procedures. By embedding controls in procedures, organizations can ensure that compliance requirements are met consistently and effectively. Efficient controls can help organizations streamline compliance processes and reduce compliance costs.
Finally, the fifth action is to add requirements for compliance skills when recruiting legal and financial managers in business units. This helps to ensure that compliance is a consideration when recruiting new managers. By ensuring that managers have the necessary compliance skills, organizations can better integrate compliance into their business operations and reduce the risk of non-compliance.
In addition to these five actions, the slideshare also suggests other recommendations, such as delegating compliance consultations, audits, and due diligence, benchmarking the scope of risk assessments, and implementing policies to simplify wording and articulation of procedures. Additionally, the slideshare recommends coordinating actions with business units to assess, implement, measure, and reward cost reduction initiatives. By following these recommendations, organizations can reduce their compliance costs while maintaining effective compliance programs.Model to Quantify Compliance Risks.pdf
This Slideshare presentation by Professor Hernan Huwyler discusses a model to quantify compliance, legal, and contractual risks. It highlights the importance of understanding the impact of uncertainty on objectives and identifies mandatory and voluntary compliance objectives. The presentation discusses different techniques to quantify risks, such as heatmaps, risk matrices, common malpractice, scores, and escalation matrices, and the problems with these techniques, such as biases, incomplete data, and aggregation issues. The presentation proposes a compliance risk modeling approach, which involves understanding the distribution of events, consequences, impact, causes, and frequency of risks. It suggests using different probability distributions, such as log-normal, Pareto, normal, Poisson, Bernoulli, and triangular, to model risks. The presentation also discusses the chain of events that can lead to different types of losses, including penalties, compensations, fines, sanctions, legal and remediation costs, loss of customers, marketing depreciation, loss of licenses, and stock price. It explains different techniques to model losses, such as graphs, decision trees, Monte Carlo simulations, and calibrated estimates. Finally, the presentation highlights the importance of using different sources of risk data, including internal and external data, paid compensations, fines, and credits, fraud losses, legal fees, and complaints, and industry studies, enforcement trackers, and case analysis. It also provides examples of business cases related to compliance objectives and contractual clauses that set penalties for non-compliance. The presentation concludes with a demo of the proposed model to quantify compliance, legal, and contractual risks.
Prof Hernan Huwyler MBA CPA - Ditch your Heat Maps
The summary is about an upcoming Safety Roundtable event on the topic of "Ditch your heat maps" presented by Professor Hernan Huwyler, MBA CPA. The event aims to help attendees transform their approach to safety risk management by moving away from subjective measures such as colours, adjectives, and heat maps, and instead focusing on a data-driven model to quantify and manage operational risks.
The event emphasizes the importance of using data and financial information to inform decision making in order to minimize biases and justify investments. Attendees will gain insights on a quantitative model that will help them measure, visualize, and manage operational risks, as well as tips to reduce risk, enhance insurance and protection, and control investment.
The event is relevant to anyone interested in risk management, insurance, and safety, and aligns with ISO 31000, the international standard for risk management. The event includes a Q&A session at the end, providing attendees with the opportunity to ask questions and share their perspectives.
Overall, the Safety Roundtable event promises to be a valuable opportunity to learn from Professor Hernan Huwyler's insights, network with other professionals interested in risk management, and gain practical knowledge on how to improve safety risk management practices using a data-driven approach.
Profesor Hernan Huwyler MBA CPA - Operacional Compliance
Obtaining resources, planning actions, and budgeting are essential for any organization's successful compliance management. Compliance management is the practice of ensuring that a company adheres to regulatory requirements and internal policies. This summary will explore key considerations for planning compliance initiatives, evaluating regulatory requirements, stakeholder needs, and developing a timeline of activities. It will also cover how to detect corruption and fraud schemes, control representation expenses, and prevent over-invoicing. Finally, we will discuss fraud impact and controls and how to demonstrate the return on investment in compliance.
To begin with, it is crucial to obtain resources to initiate compliance management. The compliance team should have adequate resources to ensure that the organization is compliant with regulatory requirements. The resources should include trained personnel, financial resources, software, and hardware, among others. After obtaining resources, the next step is planning actions and budgeting. Planning should involve various stakeholders and departmental heads to ensure that all areas of the organization are covered. Planning actions and budgeting should include developing a compliance plan, identifying potential compliance risks, and developing mitigation strategies.
While planning compliance initiatives, it is essential to evaluate the regulatory horizon, stakeholder needs, open items, and new strategies. The regulatory horizon involves understanding the regulatory landscape, identifying new regulations, and monitoring the existing ones. Stakeholder needs involve understanding the needs of all stakeholders, including shareholders, customers, and employees. Open items are compliance issues that are unresolved, and new strategies are measures that an organization intends to take to comply with regulations.
Developing a timeline of activities to address certifications and audit needs is critical. A timeline helps to ensure that an organization is compliant with regulations within the stipulated timeline. The timeline should involve developing a compliance plan, identifying potential compliance risks, and developing mitigation strategies. It should also include training employees on compliance, conducting regular internal audits, and reviewing the compliance plan to ensure that it is up to date.
Demonstrating the return on investment in compliance is essential. A return on investment (ROI) helps to justify the resources that an organization invests in compliance. Demonstrating ROI involves identifying the costs of compliance management, such as personnel, software, and hardware costs. It also involves identifying the benefits of compliance management, such as reducing the risk of regulatory fines and reputation damage.
Hernan Huwyler - IE Compliance Corporate Risk Management Full 2023
Compliance risk is the risk of failing to comply with laws, regulations, standards, and guidelines that organizations are subject to. Noncompliance risks can lead to legal, financial, and reputational consequences. Compliance officers play a critical role in identifying, assessing, and managing compliance risks. Compliance risks can also present opportunities for organizations to improve their practices, enhance their reputation, and gain a competitive advantage.
ISO 37301 is a standard that provides guidance on compliance management systems. The standard defines compliance risk as the risk of noncompliance with laws, regulations, and other requirements that an organization is obligated to comply with. Compliance risks can arise from internal and external factors, such as changes in laws and regulations, new business operations, third-party relationships, and cultural differences. ISO 37301 emphasizes the importance of managing compliance risks through a systematic and proactive approach that includes risk assessment, risk treatment, monitoring, and review.
Compliance officers serve as trusted advisors to senior management and provide guidance and support in compliance planning and decision-making. Compliance officers need to have a deep understanding of the organization's operations, risks, and culture to identify and manage compliance risks effectively. Compliance officers should also have strong communication and interpersonal skills to build relationships with stakeholders, including senior management, employees, regulators, and other external parties.
The level of compliance risk varies depending on the nature, complexity, and scale of an organization's operations. Compliance risks can be classified into three levels: low, medium, and high. Low-risk compliance activities are routine and have little impact on the organization's operations or reputation. Medium-risk compliance activities are more complex and involve higher stakes, such as regulatory compliance, data privacy, and anti-corruption. High-risk compliance activities involve significant legal, financial, and reputational consequences, such as anti-money laundering, anti-bribery, and sanctions compliance.
Compliance risks can also present opportunities for organizations to improve their practices, enhance their reputation, and gain a competitive advantage. For example, a company that implements strong data privacy practices can enhance customer trust and loyalty. A company that complies with anti-corruption laws can reduce legal and reputational risks and attract socially responsible investors. Compliance officers should work with senior management to identify and leverage compliance risks as opportunities to create value for the organization.
Compliance risk, noncompliance, ISO 37301, compliance officer, trusted advisor, risk level, opportunities, regulatory risks, obligations, ethical risks, inherent risks, residual risks, risk-taking, tolerance, control level, sustainability
The Behavioral Science of Compliance CUMPLEN.pdf
The Behavioral Science of Compliance, presentation to the 3rd Global Summit at the CUMPLEN Spanish Compliance Association
R is for Risk 2 Risk Management using R
How to code on R to quantify risks, distributions and probabilities formulas, examples, business cases
Compliance and the russian invasion - Prof Hernan Huwyler
Support Ukraine from compliance 🇺🇦 Join our free special webinar to get practical tips on how to
- adjust due diligence to address new global sanctions, export controls, and trade restrictions
- identify third parties, beneficial owners, shell companies, and assets related to Russia and Belarus
- activate exit plans and force major clauses
- address changes in the expectations of stakeholders to cancel operations, payments, financing, investing, and partnerships
- apply measures to support affected employees and the Ukrainian people
- prepare for possible Russian cyber and commercial attacks
👉 Enroll the webinar for free https://lnkd.in/gJR27Dci
#compliance #export #russianthreat #ukraine #complianceofficer #riskmanagement #sanctions #UkrainiansWillResist #business #investment #corporateresponsibility #businessethics #HR #people #investing #payments #payments #cyber #webinar
DPO Day Conference - Minimizing Privacy Risks
Minimising Privacy Risk from A Global DPO Perspective https://www.copenhagencompliance.com/2021/dpoday/agenda.html DPO, CISO, Controller or Processor? – (And the Risk Of Mixing Roles)
Minimising the Aggregate Privacy Risk Vs Contract Sharing
Using A Data Processor Modular DPIA And Data Flow
Leveraging Binding Corporate Rules as Data Processor
Prof. Hernan Huwyler, CPA, MBA
Master in Sustainability Leadership Sustainability Risks Prof Hernan Huwyler
Course on sustainability risk management for the Master in Sustainability and Corporate Social Responsibility Leadership at the Universidad Complutense de Madrid. I will provide the students with tips, tools, and models to assess and manage operational, compliance, integrity, governance, solvency, profitability environmental, climate change, and supply chain risks as part of a sustainability and social responsibility program.
Cyber Laundering and the AML Directives
Respond to new ALM obligations
Identify the key compliance changes for scope, subjects and operations
Facilitate the design and execution of compliance checks on payment methods and the use of virtual currencies
Evaluate gaps in processes to update controls and procedures
Consider the impact on corporate criminal liability using the new ISOs 37301 and 37002
Register virtual asset service providers
Assess new compliance and operational risks
Identify scenarios of risks and vulnerabilities on new crime typologies
Prevent risks of anonymous transfers and the use of prepaid cards
Manage risks on high value operations and art trade
Integrate risks to know your customer and money laundering
Detect and report suspected operations
Compare control practices regarding new requirements
Update the decision matrices on alerts
Adjust customer due diligence process
Implement the use of the lists of politically exposed persons
Report discrepancies with the public register of effective owners
Implementation of new technologies
Evaluate the prerequisites regarding quality of data and capabilities for compliance solutions
Evaluate solutions to automate and digitize processes related to robotics
Use machine learning applications for reporting suspicious transactions
Recommend practices for implementing analytics solutions on text and data
Hernan Huwyler - Iberoamerican Compliance Conference UCM Congreso Iberoameric...
Hernan Huwyler - Iberoamerican Compliance Conference UCM Congreso Iberoameric...Hernan Huwyler, MBA CPA
I am invited to speak at the Iberoamerican Compliance Conference hosted by the Universidad Complutense de Madrid (Argentina + web, Jun 29/Jun 1, Spanish). I will deliver a master class on quantitative vs. qualitative assessments of compliance risks. It will be exciting to meet great compliance colleagues and friends as Zulma Escalante, Eduardo Navarro Villaverde, Javier Puyol Montero, Silvina Bacigalupo, Daiana C., Carlos J. Díaz Navarrete, Félix Pablo Crous, Lic. Graciela Garay, Macarena Retamosa, Miguel Soler Ruiz-Boada, Nieves Cifuentes Valero, Sebastian Daniel Barletta, virginia olivieri and other fellows.
https://lnkd.in/e_qfztj
Register https://lnkd.in/e-iAMgM
#compliance #riskmanagement #ECI2021 #ECIArgentina2021 #UCMARENA - Prof Hernan Huwyler - Debate Is Machine Learning Mature Enough?
I am excited to discuss how organizations need to be prepared before implementing machine learning with Jason Maude at the Machine Learning in Financial Services event hosted by Arena International Events Group (June 30, online). We will provide recommendations to develop the conditions to successfully implement artificial intelligence projects. Thanks to Rebecca Mayoh for the event coordination.
Join here https://lnkd.in/ec6qP4A
#machinelearning #compliance
10 Mistakes in Implementing the ISO 37301
I am writing an article on the most common challenges to comply with the #ISO37301 for the IE Law School. What are the elements of your compliance management system that you plan to improve?
#compliance
Qa Financials - 10 Smart Controls for Software Development
I enjoyed presenting on effective controls for software development with Matthew Crabbe and QA Financial. I am pushing the concept of "cyber compliance" to define internal and external requirements for IT assets such as software, data, hardware, services, contracts, and licenses. Cyber compliance is rapidly expanding from licenses, privacy and contracts with IT vendors to outsourcing, software development and business continuity of essential services providers, cloud in particular.
#riskmanagement #compliance #itcontrol #CISO #cybersecurity
Information Risk Management - Cyber Risk Management - IT Risks
My classes on IT risk management. Recommendations do you expect to cover in a course on IT risk management and governance?
#riskmanagement #risk #governance #cybersecurity #security #informationsecurity #ciso #ITgovernance #ITRIsk #cyberrisk
Stronger 2021 Building the Blocks to Quantify Cyber Risks - Prof hernan huwyler
Stronger 2021 Building the Blocks to Quantify Cyber Risks - Prof hernan huwylerHernan Huwyler, MBA CPA
I am honored and humbled to have been given the opportunity to discuss practices to address cyber risks at the 2021 STRONGER conference hosted by CyberSaint Security (Sep 28, online). I will discuss the building blocks to quantify and communicate risks to protect IT assets, processes, and services. Thanks to Ethan Bresnahan for the flawless preparation of the event.
You are welcome to register here https://lnkd.in/eitKYDsX
#cybersecurity #security #datasecurity #infosec #riskmanagement #ciso #stronger2021IE Curso ISO 37301 Aseguramiento de Controles de Cumplimiento
Learn how to design, implement. operate and certify a compliance program under the new ISO 37301. Join the IE Law School professors, Alvaro Arjona l Ph.D, Jesica Hita Ruiz, Fabio G. Pérez-Bryan and me, to get a toolbox with facilitators, guidance, reference policies, checklist and other practical references.
8 modules - 12 hours - Sept 27th and 28th - Online
- Requirements, terms scope, elements and certification and consultancy market
- Practical impact. main changes, benchmark, and introduced components
- Adequacy for criminal law compliance in Spain (UNE 19601) and in LatAm
- Processes from risk analysis to reporting and evaluation
- Implementation of requirements
- Recommendations and facilitators for implementation.
- Roadmap with evidence to certify
- Documentation review program for implementation assurance
- Methodology for testing compliance controls and documentation reviews
Thanks to Sibel Abdulovska, Paula Abascal Gutierrez-Colomer and Maria Serrano for the flawless coordination of the course.
Lean more: https://lnkd.in/gezyzmgn
#ISO37301 #CCO #compliance #audit #certification #ISO37002
Strategy Insights - How to Quantify IT Risks
It was a pleasure to moderate a workshop to assess cyber security risks hosted by Strategy Insights. We discussed options and practices to quantify confidentiality, integrity, and availability risks with delegates of the big players in the pharma, banking, retailing, and service sectors in the Nordics.
Thanks to Anna Rose Poyntz, Finlay Wilson, and Edgar Baier for the event coordination.
Round tables https://lnkd.in/e_m5eTW5
#cybersecurity #compliance #strategy #banking #ciso #riskmanagement
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How to assess legal and compliance risks with the new ISO 31022
- 1. Legal and Compliance Risks New ISO 31022 Buenos Aires
- 2. Takeaways Aportes Copenhagen Carlos Rozen Romina Santander Claudia Fornari Hernan Huwyler
- 3. The new ISO 31022 provides compliance officers with an international guideline to identify, assess and manage legal risks La nueva ISO 31022 proporciona a los oficiales de cumplimiento una guia internacional para identificar, evaluar y gestionar riesgos legales
- 4. The ISO 31022 improves the corporate defense, sells compliance as a service and builds credibility to customers La ISO 31022 mejora la defensa corporativa, vende compliance como un servicio y aumenta la credibilidad para los clientes
- 5. Replacing the use of data and probabilities to assess legal risks with biased green-to-red heat maps is a professional malpractice Reemplazar el uso de datos y probabilidades para evaluar riesgos legales con sesgados mapas de calor de verde a rojo es una mala praxis
- 6. Risk data is found in claims, frauds, litigations, disputes, fines, insurance claims, accidents and near- misses Los datos de riesgos se encuentran en reclamos, fraudes, litigios, disputas, multas, uso de seguros, accidentes y cuasi accidentes
- 7. Probabilistic science involves decision tree analysis and Monte Carlo Simulations in legal and compliance La ciencia probabilística implica el análisis del árbol de decisiones y las simulaciones de Monte Carlo en aspectos legales y de cumplimiento
- 8. The ISO 31022 requires to use the best available information for consistent advisory for decision- making La ISO 31022 requiere utilizar la mejor información disponible para un asesoramiento coherente en la toma de decisiones
- 9. The ISO 31022 cannot be certified, but supports the ISOs 37001, 19601 (SP) 27001 and 27701 from anti-bribery to privacy La ISO 31022 no puede ser certificada, pero apoya a las ISOs 37001, 19601 (SP) 27001 y 27701 desde la lucha contra el soborno hasta la privacidad
- 10. Using international standards and scientific tools separates charlatans from compliance practitioners El uso de estándares internacionales y herramientas científicas separa a los charlatanes de los profesionales del cumplimiento
- 11. Decision-making in legal and compliance risks involves reserves, insurance coverages, control investments, contractual clauses and no-go options in due diligences La toma de decisiones en riesgos legales y de cumplimiento involucra reservas, coberturas de seguros, inversiones en control interno, cláusulas contractuales y rechazos en debidas diligencias
- 12. Alternative futures of compliance officers using pseudoscience instead of risk data and accepted methodologies
- 13. Words of estimative probability Sherman Kent
- 14. What's Wrong with Risk Matrices? Anthony Cox Poor resolution > assign identical ratings to quantitatively very different risks (range compression) Errors > worse than useless, leading to worse‐than‐random decisions Suboptimal resource allocation > countermeasures cannot be based on the categories Ambiguous inputs and outputs > categorizations of severity cannot be made objectively Mala resolución > asigna calificaciones idénticas a riesgos cuantitativamente muy diferentes (compresión de rango) Errores > peores que inútiles, conducen a decisiones peores que las aleatorias Asignación subóptima de recursos > las contramedidas no pueden basarse en las categorías Entradas y salidas ambiguas > las categorizaciones de gravedad no se pueden hacer objetivamente