The Conduct Chronicles – Conduct and Culture: Insights from the US Record Keeping fines
Culture is determined by more than just 'tone from the top', it requires ongoing effort and investment. Firms should also look to celebrate good behavior, and ensure incidents of bad behavior are being escalated.
Computer Security Day: The role of leadership in protecting data
This Computer Security Day, it is important to recognize that strong leadership drives effective cybersecurity and ensures regulatory compliance.
Conduct and culture: A growing focus for U.S. regulators?
Discover how the focus on conduct and culture has developed over the last several years in U.S. financial regulation.
C-suite under scrutiny as data mishandling hinders investigation and fails to meet regulatory expectation
C-suite professionals are facing the repercussions of their inability to manage data reporting and controls efficiently. It is vital that senior officials set the 'tone at the top' by maintaining regulatory standards and ensuring that incomplete data submissions are seen as unacceptable.
Regulatory Wrap Episode 39: $49M in SEC Fines for 6 Firms
In Regulatory Wrap for the week to September 6, Jennie Clarke discusses the continuation of SEC recordkeeping fines, with the most recent being against six agencies for $49 million.
Regulatory Wrap Episode 31: SEC’s Principles of Effective Cooperation
In Regulatory Wrap for the week to June 7, Rob Mason covers the SEC’s continued pursuit of regulatory transparency with its “five principles of effective cooperation” relating to investigations.
The road ahead: A podcast summary on recordkeeping compliance and regulatory action
Regulators have made their view on noncompliance clear as they continue to use a firm hand to squash communications and recordkeeping violations. Global Relay’s Executive VP of Compliance, Chip Jones, spoke to this point in an FCPA Compliance Report podcast, weighing in on what moves organizations can make to ensure they’re not dealt the next costly blow.
What Really Drives Compliance – Is ‘Tone from the Top’ Enough?
In this contributed article, Hoda Aden Mohamed, Corporate Compliance at Nordic Semiconductor, asks what really drives compliant cultures - is it the tone at the top? Or something more practical?
Regulatory Wrap Episode 6: The Crucial Role of Leadership in Compliance
In Regulatory Wrap for the week to September 22, Jennie Clarke poses the question – what role do leadership and “tone from the top” play in promoting compliance?