FAA Enforcement Committee Hands Down First-Ever Decision

The French Anticorruption Agency (FAA) made an unsuccessful attempt to take its first enforcement this July as reported by a JD Supra news alert. The move followed the regulator’s three-month audit of an undisclosed company's corporate compliance program.  

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DOJ’s new guidance – Q/A with Susan Divers

Recently, we held a live webinar with special guest Susan Divers from LRN to get her take on the expanded guidance released 30 April, 2019. We thought we’d pick her brain further on this guidance and on high-performing compliance programs.

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Best practices for high-performing compliance programs

It’s a tricky thing to understand what a high-performing compliance program actually looks like. Aside from activities and checklists and even anonymous tips, a high-performing compliance program must include the human element. Do we, as a company, believe we’re always doing the right thing? Because in the end, that is what compliance is all about.

We’ve been fortunate to work with and have at MCO some of the most respected leaders in the compliance space. And from them, we’ve crafted a few best practices for high-performing compliance programs that everyone can easily put into place.

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FCA Highlights Insider Trading Risk and Compliance

The Financial Conduct Authority (FCA) issued an edition of Market Watch this month that shares the regulator’s concerns and findings about control of access to inside information. In the publication, the FCA highlighted the conviction of Fabiana Abdel-Malek, a former Compliance officer in the London branch of a major investment bank.  

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Making G&E Compliance Faster & More Cost-Effective

The CEO of any financial firm will tell you regulatory compliance is one of their organization’s greatest challenges. The compliance part is easy. Regulators tell a firm what to do. Then they must do it or face often severe legal and financial penalties along with reputational damage. It’s HOW to create and implement effective compliance programs in efficient and affordable ways that presents issues for firms.  

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