C-Suite Involvement Crucial to Compliance Program Sucess

Integrating the compliance function into an organization’s C-Suite not only improves crisis preparedness but also helps protect the bottom line. Performing that integration is not always so easy, however. The first roadblock is the C-level structure itself. 

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SEC Issues New Conflict Rules Amid Praise and Criticism

The U.S. Securities and Exchange Commission (SEC) approved new conflict of interest rules for brokers this past week. The regulations mandate brokers act in the “best interest” of clients. They require the financial services industry to clamp down on potential conflicts such as contests rewarding brokers for selling more securities than peers and exclusively selling their employers’ products.  

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DOJ Still Trying to Figure Out FCPA

When it comes to enforcing the Foreign Corrupt Practices Act (FCPA), the U.S. Department of Justice (DOJ) is still trying to figure it out. That’s according to Mike Koehler, professor of Law at Southern Illinois University, who is an FCPA expert.  

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3 Things You Should Know from the ACC's Top 10 on FCPA Compliance

The Association of Corporate Counsel (ACC) published an article in May focusing on the top ten things small corporate legal departments need to know about complying with the Foreign Corrupt Practices Act (FCPA). While all ten are good to review, three stand out as critical to making sure your FCPA compliance program is more than just a written policy.  

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The Time to Comply with SMCR is now says FCA

The time to being preparing to comply with the new Senior Managers and Certification Regime (SMCR) is now, according the Financial Conduct Authority (FCA). The FCA recently issued a reminder to firms regulated by the Financial Services and Markets Act (FSMA) that they must be ready to meet SMCR requirements when the December 9, 2019 effective date arrives.  

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