- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Organisations with robust speak-up programs can address compliance problems pre-emptively, but building such programs can be tricky. Here are 12 tips how.
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The U.K. Financial Conduct Authority fined the London branch of Australian-based Macquarie Bank Limited more than 13 million pounds (U.S. $16.3 million) for “serious control failures” that allowed a trader to conceal hundreds of fictitious trades over a 20-month period.
We will discuss the critical role whistleblowers play in law enforcement, and how the DOJ has structured its program to incentivize people to come forward.
The archive a firm selects can make or break their compliance strategy yet selecting an archive that meets your firm’s needs can be daunting. It is nearly impossible to identify the differences between vendors at first glance.
