The financial services industry faces many regulations on how to engage on social media, including communication and retention rules from FINRA, SEC, FCA, IIROC, and others.
Ethics & Culture
Posted inEthics & Culture
Inside look at compliance challenges of Trump White House
Establishing compliance and ethics under the Trump administration provided valuable lessons on dealing with media and preparing for crises, said Compliance Week annual conference keynote Stefan Passantino.
Posted inEthics & Culture
A new CCO’s Herculean task at Wells Fargo
Compliance Week chats with Wells Fargo CCO Mike Roemer about the challenge of rebuilding trust at a company that’s been the poster child of compliance and risk management gone wrong.
Posted inEthics & Culture
Top Minds in Compliance podcast: Mary Shirley
Mary Shirley, senior director of ethics and compliance at Fresenius Medical Care and a 2019 Top Minds recipient, details to columnist Tom Fox the adjustments she’s made in working in compliance across the globe.
Posted inEthics & Culture
CBS initiates new anti-harassment policies
CBS Studios has initiated new policies it says will ensure the network is “a safe, fair, and inclusive place to work.”
Posted inEthics & Culture
Wynn Resorts fined $35M for mishandling sexual misconduct complaint
The Massachusetts Gaming Commission on April 30 imposed a $35 million fine on Wynn Resorts and requires it to meet a series of license conditions, including the appointment of an independent monitor.
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Top Minds in Compliance podcast: Brian Beeghly
Brian Beeghly, former chief compliance officer at Johnson Controls, explains to columnist Tom Fox the steps taken in designing a leadership model in the wake of an FCPA investigation.
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Best practices for managing employee reports
A recent report from NAVEX Global offers a look at how the performance of ethics and compliance officers’ hotline and incident management systems stack up against their peers.
Posted inEthics & Culture
Executing a culture of integrity initiative
Building a culture of integrity is more than just putting on a compliance week fair; join this Conversation at the annual CW conference in May to learn how to implement a culture of integrity.
Posted inEthics & Culture
Top Minds in Compliance podcast: Katie Smith
Katie Smith, chief compliance officer at Convercent, shares with columnist Tom Fox the challenges she’s faced as a CCO at a growth company.