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Entries in Compliance Officer (20)


Extend the privilege to compliance officers

The privilege is there to protect the privacy of our most important conversations. It's a rule of evidence that excludes certain private statements from being used in legal, regulatory, or administrative proceedings.

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Should some parts of a compliance program be kept secret?

Most big companies publish their ethics and compliance programs online. Anyone can read them and know what goals the company has set and how it hopes to achieve them.

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Amid investigation firestorm, what can compliance officers do?

The media has been busy reporting on investigation and enforcement news surrounding the elections across several states in India. These reports have a clear impact on actions compliance officers can and should take.

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What does an effective compliance officer look like in 2019 and beyond?

Undoubtedly, one of the most valuable assets to a company in managing the ever-changing and complex regulatory landscape, and responding to these identified trends and risks, is having the very best compliance officers equipped with the tools to enhance their skills and influence. 

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UK fines compliance officer for his firm’s bad advice

The Financial Conduct Authority penalized a compliance officer Friday for allowing customers of the wealth management firms he worked for to receive wrong advice about their pensions.

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Former Goldman Sachs compliance techie settles SEC insider trading charges

A former Goldman Sachs Group Inc. compliance employee settled an SEC complaint Wednesday that accused him of using confidential data from emails for trades in at least four takeover targets.

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Compliance officer shortage hurts Singapore banks

Along with New York, London, and Hong Kong, Singapore now ranks as one of the world's most important financial centers. And to protect its new-found status, the tiny Southeast Asia country has cracked down hard on money laundering.

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Former MoneyGram compliance chief penalized $1 million for ‘willful inaction’

The Treasury Department's Financial Crimes Enforcement Network (FinCEN) imposed a $1 million civil penalty against the former chief compliance officer for MoneyGram International Inc.

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Surprise! Compliance has growing role in business decisions

A new survey of general counsels and compliance officers found that 30% of companies in North America, Europe, and Asia stopped doing business with a partner because of corruption risks.

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Compliance officers stand alone, but not apart

The correspondent wrote:

“In my job for the University, I am often alone in my efforts to convince the management and trustees of the system of the need for a comprehensive compliance initiative.

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To the Rising Middle Class of Guanajuato, Mexico – and its compliance officers

The front page of the New York Times featured a long article this week about the new middle class life you are creating in Guanajuato based on employment by multinationals and investment in education. Your success is something to be celebrated.

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In Wal-Mart case, feds can protect compliance officers. But will they?

The SEC’s new Chair, Mary Jo White, made headlines last week by letting compliance officers know how important their role is to their organizations and to the SEC.

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