Regulatory intelligence plays a crucial role in today’s business landscape, where regulatory requirements are constantly evolving. Staying ahead of these changes is not only essential
DE Shaw, a prominent financial services firm, recently settled a retaliation case with the Securities and Exchange Commission (SEC) for a staggering $10 million. It
Data-driven compliance strategies have become a game-changer in risk management and fraud prevention. I recently had the opportunity to participate in a KonaAi-sponsored webinar entitled
I recently sat down with Adam Balfour, author of Ethics and Compliance for Humans. We had a great conversation about his book and the importance
In compliance and risk management, one size does not fit all. Generic policies and procedures may seem convenient but can lead to compliance risks and
Early in October at the 2023 SCCE Compliance and Ethics Institute, Deputy Attorney General Lisa Monaco delivered a long-anticipated speech expanding and formalizing the Department
Corporate Compliance and Ethics Week will be held from November 5-11, 2023. It is designed to celebrate the compliance function in the corporate world. While
In recent years, regulated industries, particularly broker-dealer firms like Wells Fargo and Morgan Stanley, have faced increased scrutiny from regulatory bodies due to their lack
In a recent ECI podcast series, I had the opportunity to visit with Pat Harned, CEO of ECI. We took a deep dive into the
In a recent ECI podcast series, I had the opportunity to visit with Pat Harned, CEO of ECI. We took a deep dive into the
