As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
by Dan Dorsky, Principal, Anti-Corruption and Ethics Practice. An enforcement action jarring the financial services […]
Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational […]
Emmanuel Olaoye, Thomson Reuters As the Financial Industry Regulatory Authority embraces the cloud and […]
Mitch Avnet notes that firms lacking “consistent and cohesive training and messaging to mid-level managers” place their organizations at great risk. "An organization must create an awareness and culture encouraging employees to raise their hands...
Compliance in Financial Services White Paper | Compliance organizations have had good success leveraging new technologies to improve efficiency, but recent trends as discussed will increasingly force compliance leaders to take action to mitigate the risks arising from the data and regulation explosion.
As members of the Financial Services Industry, we find ourselves in the position of having an inordinate amount of confidential information at our disposal...