Vulnerable customers have finally reached the top of the regulatory priority list. New guidance from the U.K. Financial Conduct Authority sets out what will be expected of firms in providing an appropriate level of care.
Posted inRisk Management
ICA: Takeaways from risk assessment roundtable
A recent roundtable on best practices for risk management saw delegates share their experiences in conducting assessments that are accurate, effective, and efficient.
Posted inEthics & Culture
Five steps to elevate your average compliance program
Why settle for an average compliance program when you can have so much more? It isn’t easy, but commitment to a handful of key requirements can push your program to the next level.
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Enforcement Actions eBook: Monitoring Trends, Regulatory Complexity and Best Practices for Risk Management
As the Biden Administration regulatory activity ramps up, many regulatory agencies are re-enforcing rules and preparing for enforcement of new regulations. This FREE eBook provides key Insights, trend & violation analysis of enforcement actions issued in Q1 of 2021. Download the free eBook here.
Posted inBoards & Shareholders
Are compliance officers good board material?
Compliance is perfectly primed to adapt, with the ability to influence change in culture as part of integrated and innovative approaches to risk management. Does that translate to the board level?
Posted inEurope
How global compliance works at the local level
For compliance officers working for global companies, it is important to understand the way different regions view compliance and how it may differ from your home country’s views.
Posted inEthics & Culture
Compliance changing culture requires proactive collaboration
Compliance teams might recognize opportunities for changing culture. To do so, they need to adapt readily in both purpose and approach and embrace innovation.
Posted inEthics & Culture
Curiosity is important for compliance professionals
Rapid developments in technology and an uncertain future underscore the need for compliance professionals to embrace curiosity both personally and professionally in order to protect their firms from risk.
Posted inRisk Management
Combating terrorist financing: Coordination and the ‘human element’
Fundamental differences in ideology and motivation differentiate a terrorist from organized criminal groups. However, a debate rages over the connection between transnational organized crime and terrorist financing.
Posted inFrom the Archive
EIC2021 Rising Star in Compliance: Jennifer Newton
Jennifer Newton, founder of the National Association of Black Compliance & Risk Management Professionals, shares her advice for advancing social change and more upon being named Rising Star in Compliance at CW’s 2021 Excellence in Compliance Awards.
