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Article
Fiduciary duty rules poised to redefine an industry
It sounds reasonable enough: hold broker-dealers and investment advisers to a fiduciary standard when they offer investment advice, specifically with retirement plans. Firms, however, fear that pending rules, split between the Securities and Exchange Commission and Department of Labor, are not in sync and unintended consequences will radically alter traditional ...
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Basic PageNestlé CEO dismissed after code of conduct breach
Nestlé dismissed its CEO over an undisclosed relationship with a subordinate, a clear breach of the company’s code of business conduct. The dismissal underscores that no one is exempt from compliance obligations, even top leadership.
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News BriefCommunication and relationships is increasingly critical for compliance teams
Compliance is increasingly in the spotlight as companies are tackling everything from artificial intelligence and other new technologies to risk management and mitigation. But it’s soft skills of communication and relationship building that are becoming the most critical tools for success.