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NEWSLETTER: We’re tantalisingly close to the election. Whatever the outcome, there’s plenty for firms to be grappling with to develop strong, robust compliance functions and cultures.
Whistleblowing continues to be a major tool in the SEC’s armory, with the regulator dishing out several awards to the tune of over $120million in August alone. The SEC is determined to uncover wrongdoing, and has with a healthy war chest with which to do so.
Examinations continue to be another focal area. Even with the regulator publishing its annual examination priorities list, the reality of receiving an exam alongside BAU can be quite the undertaking. We look at what you can do ahead of an examination, as your turn could easily be next.
Finally, culture really can make or break your approach to compliance. How certain are you that everyone, from the boardroom to the back-office, understands the role they play and what’s expected? The team lay out how effective training programmes can keep your teams informed and ready for anything.
As always, let us know if you need any help or support.
Rebecca Thorpe, Global Head of Regulatory Consulting and Aron Brown, Global Head of Regulatory & Compliance
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