2016 Compliance Roundup - The Nice List

    

 

Yesterday we looked at the biggest fines of the year, “The Naughty List”. Today we look at some of the more positive events of the year, “The Nice List”.

The Nice List

  1. The SEC’s whistleblower program. A record $57 million was awarded to 13 whistleblowers. This figure was more than all previous years combined.

  2. Tom Fox. Tom joins the Nice List as the winner of the SCCE Compliance Award at the 2016 SCCEcei conference. This follows from his win the previous year for best blog with The FCPA Blog. Keep up the good work, Tom! 

  3. Senator Elizabeth Warren. For her grilling of the former Wells Fargo CEO, John Stumpf, about the fraudulent account openings scandal. You can watch the clip here.

  4. You, the risk and compliance professionals, who work to improve standards and ethics across the entire business world!

  5. Kristy Grant-Hart for her much talked about and rousing keynote at the SCCEcei conference.

  6. The regulators. The SEC, FINRA, The DOJ, The CFPB who all had a record year in 2016.

  7. The journalists behind the Panama Leaks. The international consortium of investigative journalists consisting of 185 reporters from more than 65 countries who investigated and subsequently reported on the infamous Panama law firm Mossack Fonseca.

  8. Last but not least, my colleagues at MCO, who work tirelessly to deliver the very best software solutions to our clients across 68 different countries

     

Make sure you make 2017's nice list. Download our brochure to see how MCO can benefit your compliance program.
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