Webinar

Taking a look back can help you move forward. Now’s the time to take a step back and consider how new or elevated risks during the year have been addressed, how controls have been established, and how compliance initiatives undertaken at year-end can set the stage for a stronger compliance program in 2021.

As a compliance officer, regulatory counsel, risk manager or auditor, what keeps you up at night? Where do you need to focus your time and energy to close out the year strong and position yourself for success in 2021?

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.  

Risks might be blindingly obvious once in front of you, but they do not often occur to people beforehand. That is why is so important to understand what conduct risk means, identify the risks and drivers to protect your businesses and ensure markets remain clean.