Tone from the top

Regulatory Wrap Episode 31: The SEC’s Five 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?