Webinar

The Royal Commission into Misconduct in the Banking, Superannuation, and Financial Services Industry (also known as the Banking Royal Commission or the Hayne Royal Commission) made several recommendations in its final report on Australia’s financial industry.

Each year, the SEC sets out a number of key priorities for their regulated entities.

In order to be effective advisors, Chief Compliance Officers must have a clear and holistic view of their organization’s risk profile. A clear and holistic view of risk helps compliance set regulatory priorities, identify gaps in policies and procedures and streamline operations. 

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.