In-depth coverage of governance frameworks, risk management, compliance programs, and regulatory developments.
Ethics and ConductThe UAE's AML law broadens compliance obligations beyond banks to sectors like real estate, logistics, and virtual assets, eliminating statutory limits on prosecutions.
Ethics and ConductThe UK government s consultation on financial rewards for whistleblowers and mandatory workplace policies signals a potential shift in how your organization detects and responds to economic crime. For
Ethics and ConductThe European Commission s evaluation of Directive (EU) 2019/1937 signals that your whistleblowing framework may require updates before new requirements are introduced. With median reports per 100 empl
Ethics and ConductScope: What This Guide Covers This guide addresses the strategic and operational risks that arise when financial institutions overly depend on automated transaction monitoring systems for anti-money l
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Ethics and ConductYour compliance team faces a resource allocation problem. You ve got hundreds, maybe thousands, of third-party relationships: vendors, distributors, agents, consultants, joint venture partners. Financ
Ethics and ConductThe National Fraud Enforcement Division s October 1, 2023 directive, known as the McDonald memo, outlines 10 factors prosecutors must consider when deciding whether to charge a company. If your organi
Ethics and ConductThe Justice Department s National Fraud Division has published 10 enforcement factors for corporate prosecutions. Many compliance officers read the memo, nod, and file it away. That s the first mistak
Ethics and ConductScope - What This Guide Covers This guide explores the operational implications of the DOJ fraud division s upcoming whistleblower program and the Corporate Enforcement Section s oversight role. It s
Ethics and ConductThe Conventional Wisdom Compliance officers are rushing to overhaul their programs in response to Colin McDonald s memo outlining 10 factors the National Fraud Division will use when deciding whether
Ethics and ConductThe SEC s Division of Examinations recently released The SEC Exam Handbook: A Practical Guide on Process and Engagement, and it s likely raising questions about your next exam cycle. This isn t just a
Ethics and ConductThe Financial Reporting Council (FRC) has revised two standards to address changes in the International Code of Ethics for Professional Accountants. This revision introduces explicit ethical requireme
Ethics and ConductLaunching a new service line or technology requires more than innovation; it demands rigorous attention to disclosure obligations. The SEC s enforcement action against Zoe Financial Inc. underscores t
Ethics and ConductPurpose of the Template This template offers a structured framework for investigating and resolving whistleblower retaliation complaints. It aims to prevent systemic delays, such as those experienced
Ethics and ConductThe Challenge David Woodcock, director of the SEC s Division of Enforcement, recently announced that the agency s priority is to get back to basics in enforcement. This statement signals a fundamental
Ethics and ConductWhat Happened The Upper Tribunal has upheld Crispin Odey s lifetime ban from the U.K. financial sector and confirmed a £1.5 million fine imposed by the Financial Conduct Authority . The FCA s enforcem
Ethics and ConductThe Challenge The U.S. Commodity Futures Trading Commission (CFTC) has updated its whistleblower rules to facilitate more whistleblowers receiving 30 percent awards. This change significantly impacts
Ethics and ConductThe Decision at Hand Your organization has enforced a strict ban on political contributions by employees due to Rule 206(4)-5 under the Investment Advisers Act . This rule imposed a two-year compensat
Ethics and ConductThe Challenge of Updating Your Code of Conduct Proposing an update to your code of conduct can often lead to silence in leadership meetings. Concerns about budget, legal involvement, and the adequacy
Ethics and ConductInvestment adviser pay-to-play rules are often seen as safeguards against corruption in government pension management. The SEC s Advisers Act Rule 206(4)-5 , established in 2010, is considered essenti
Ethics and ConductEight months after the Trump Administration announced the National Fraud Enforcement Division, compliance officers still don t know what it does, who it targets, or how it overlaps with existing agenc
