MyComplianceOffice Blog

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.

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.

The aftermath of the political unrest at the U.S. Capitol last week has seen many Financial Services firms putting the brakes on political contributions and reviewing their political donations policies. With the industry already expecting stricter rules and regulations in the new administration, it’s critical that firms have a solid understanding of the impact of political contributions on their organizations.

The Financial Adviser Standards and Ethics Authority (FASEA) sets education, training and ethical standards for the financial services industry. The body approves qualifications and exams, develops the Code of Ethics, and sets CPD requirements for licensed financial advisers in Australia.