Webinar

The 2020 U.S. Presidential election saw unprecedented levels of political donations on both sides of the aisle. And recent comments from Gary Gensler indicate that the disclosure of corporate political contributions and donations will continue to remain a priority for the SEC.

Software works best when the right processes are in place. Changing to a new technology platform can seem daunting—but it doesn’t have to be. Knowing what to expect during a software transition helps to ensure a successful implementation.  

Addressing Conflict of Interests (COI) that can have an outsized impact on the overall efficacy of a firm’s compliance and ethics program should be a top priority. The danger of poor COI mitigation is not only the immediate impact from individual COIs but also a broader risk to the entire program.