Fintech Focus Podcast | Managing a Workforce in a Regulated Environment
Fintech Focus Podcast | Growing a Workforce in a Regulated Environment
The Informed Board Podcast | CEO Succession Planning on a Clear Day
What Do We Do Now?! How to Handle an OSHA Inspection
Day 22 of One Month to Better Compliance Through HR-10 Questions to Better Operationalize Compliance
Unfair and Unbalanced-Episode 18
The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) are considering ways to enhance individual accountability, particularly among Senior Managers, by more fully integrating the regulatory...more
The FCA’s focus, in the six years since #MeToo began, upon tackling ‘non-financial misconduct’ (broadly, poor interpersonal behaviour) in the financial services sector has sometimes been said to be a bit odd and/or not the...more
At the start of 2024, the New York State Department of Financial Services (“DFS”) issued an industry letter: Guidance on Assessment of the Character and Fitness of Directors, Senior Officers, and Managers (the “Guidance”),...more
The Federal Reserve recently published a whopping 118-page review of the failure of Silicon Valley Bank (SVB), and three days later the FDIC published a 75-page report outlining several ideas to reform our deposit insurance...more
I recently visited with Joe Schorr about the managing a multi-entity GRC architecture with 6clicks hub and spoke for a sponsored podcast series. You can check out Joe’s podcast here. Joe is the VP and Global Head of Strategic...more
Corporate board members face increasing risks. Federal prosecutors are watching their behavior when corporate malfeasance occurs. Regulators focus on the important issue of board governance. Shareholders are ready to file...more
I am reluctant to start off the New Year with a negative comment or posting. But I have a significant concern about the path and current state of ethics and compliance....more
The path of the compliance profession has been remarkable. Recently, I have seen a number of tweets and postings from compliance thought leaders touting the accomplishments of compliance and the transformation of the...more
This week in a special five-part podcast series on the FCPA Compliance Report, hosted by GAN Integrity, Inc. (GAN), we consider the evolution of compliance, from disconnected to connected....more
Why is innovation so critical in every compliance program? Is it simply because the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) say it is so; or are there other reasons?...more
One of the ongoing questions from members of Board of Directors is how to resolve the tension between oversight and managing. I recently had the opportunity to visit with Joe Howell, the Executive Vice President (EVP) of...more