MyComplianceOffice Blog

When looking at the Goldman Sachs’ $3.3 billion settlement and analyzing other similar cases where FCPA applied penalties and disgorgement, we see common failures in financial institutions to maintain internal controls. But what can we learn from the top 10 FCPA fines?

Our CEO, Brian Fahey, recently gave an interview to Svetlana Snezhko and Anastasia Smaga leaders of the project Compliance Radio in Russia in partnership with Megapolis 89.5 FM.

The thought of an employee working from home and revealing company private information is a compliance nightmare and it deeply frights regulators. Working from home increased Compliance fears and created numerous challenges for firms. Compliance had to carefully think over the best way to monitor conflicts of interest, manage the risks around the identification, handling and disclosure of inside information because of the new circumstances.

Getting buy-in from key stakeholders in your organization is a critical part of a successful software purchase and implementation process. With budgets tight and resources limited, how do you make the case for your organization to invest in compliance technology?

It all starts with telling the right story within your firm.