Compliance risk management has come a long way, but compliance programs still have some distance to go to become — in their own estimation — true strategic business partners. The results of Accenture’s 2014 Compliance Risk Study – based on survey responses from 100 compliance officers at banking and capital markets firms across Europe and […]

Transitional arrangements adopted by certain of the EEA Member States, and reflected in the Jersey AIFMD regime, have meant that Jersey’s AIFMD regime has not yet applied where the national laws of EEA Member States in which the AIF is marketed or managed have not required compliance with the AIFMD. However, most transitional arrangements are […]

Money-laundering. Child labor. Wire fraud. Not only are they scary phrases, but some of the growing concerns business leaders face as governments step up their regulatory efforts. Failure to comply can be catastrophic. While no compliance program is perfect, establishing a strong compliance infrastructure can help protect your organization when the Department of Justice comes […]

No matter how strong a company’s compliance program, there is always a risk.  No matter how many times employees are trained, complete certifications and are reminded of their FCPA compliance obligations, there is always a risk.  All you have to do is look at the facts of the Morgan Stanley case which is usually cited […]

If you look back five years and ask – how much has changed in the compliance world in the last five years? – the answer is remarkable.  I can easily make the argument that the biggest change in corporate governance over the last five years has not been executive pay reform, or any of the […]

  Compliance professionals are fast-rising stars in every organization.  They are the unsung heroes who try to ensure compliance, usually with a shortage of resources. The compliance profession is undergoing a significant change.  Directors and senior management are empowering chief compliance officers and elevating their status. With increasing power and influence, come some of the […]

 Rapid change seems to be the order of the day, as the speed and complexity of business continue to increase. Technological advances such as cloud computing, mobile devices and social media continue to take hold. Regulatory demands continue to expand. Workforce dynamics continue to evolve. These and numerous other trends spawn new risks, altering risk […]