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Using Technology to Build a Culture of Compliance

Compliance professionals are aware that creating a strong culture of compliance should be a priority for their organizations. Yet what exactly does that mean for firms—and how can they prove to regulators that a culture of compliance is in place? That’s a question that I cover frequently with the firms that I work with.

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Constraints and Pressures Facing Compliance Today

What are the most significant pressures facing compliance programs in 2021? And where are the largest constraints? An audience of Chief Compliance Officers and General Counsel were asked those questions during the during the webinar Compliance Budgeting: Reducing Risk by Doing More With Less.

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Behavioral Compliance and Ethics

Most people know of behavioral ethics, an area of social science that illustrates how we are not as ethical as we think we are due to different cognitive biases. The field of behavioral compliance and ethics is lesser known. It attempts to use behavioral ethics insights to create and run more effective compliance programs. In a recent post on the FCPA blog, attorney Jim Kaplan offers some ways in which you can apply behavioral compliance and ethics to your corporate compliance program. 

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FCA on Personal Account Dealing Compliance

The Financial Conduct Authority (FCA) issued Market Watch 62 in October in which the regulator shared its concerns about personal account dealing (PAD), or rather when employees of an authorized firm trade for themselves rather than clients.  

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OECD Takes Aim at Japan's Anti-Bribery and Corruption Efforts

The Organization for Economic Cooperation and Development (OECD) Working Group on Bribery in International Transactions recently took aim at Japan’s efforts to combat bribery of foreign public officials.  

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