2018 Compliance Roundup - The Nice List



“He’s making a list, checking it twice. . .”

We believe it is a great time of year to recognize fellow professionals for their outstanding contributions to the field of compliance and risk in 2018.

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

The 2018 Nice List

  1. Dr. Annamaria Lusardi, winner of the 2018 Ketchum Prize for outstanding service and research to advance investor protection and financial capability in the U.S.
  2. Linda Tuck Chapman, author of the 2018 book, "Third-Party Risk Management: Driving Enterprise Value".  Third-party relationships power your institution every minute of every day, But they can expose your institution to risk. The book consists of three parts: Part 1 – Driving Total Alignment Part 2 – Key Drivers of Inherent Risk Part 3 – Driving Best Value.
  3. AT&T’s Senior Executive Vice President & Chief Compliance Officer David Huntley, recognized by Compliance Week as a Compliance Innovator and one of 12 recipients of Compliance Week’s Top Minds 2018 Award.
  4. Parquet National Financier, the UK Serious Fraud Office, the Federal Office of Justice in Switzerland, and the Office of the Attorney General in Switzerland for working in cooperation with the US Department of Justice in a significant overseas corruption case. Because of these efforts, a Paris-based bank agreed to settle charges that it paid over $90 million in bribes to officials in Libya during the Qaddafi regime.
  5. FINRA and the SEC. A repeat from past years, FINRA and SEC must be included on the Nice List for their work to protect investors and market integrity.
  6. Daniel Kahl, newly named Deputy Director of the Office of Compliance Inspections and Examinations for the SEC.  Mr. Kahl has been with the SEC for over 17 years, serving as OCIE’s Chief Counsel since February 2016. He will continue to serve as Chief Counsel while also assuming this additional leadership role in OCIE. 
  7. Risk and Compliance Professionals. Finally, the risk and compliance professionals in the trenches everyday make our 2018 Nice List for working to improve standards and ethics across the business world.

Thanks for all you do. Happy Holidays from MCO!