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NEWSLETTER: Being the subject of an SEC examination isn’t an experience many firms forget. We look at how mock examinations can prepare your people and uncover aspects of your compliance programme that warrant improvement – before the SEC comes calling.
Examinations only root out what’s already taken hold in your organisation though. As we examine the attributes that set apart high-performing compliance functions, one of the major driving forces is making sure compliance has a seat at the table in the first place. While there’s plenty of other forces at play, we’ve often observed this as a major turning point, seeing functions involved in projects and products from the outset, being compliant by design versus teams having to throw cold water on initiatives at the last minute.
As many of our clients operate across the US and UK, we also take a look at cross-border regulatory requirements. It’s a great overview of some of the major considerations and recent developments, of which there have been plenty on both sides of the Atlantic to contend with.
As always, do let us know if we can help and support.
Rebecca Thorpe, Global Head of Regulatory Consulting and Aron Brown, Global Head of Regulatory & Compliance
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