FAA Enforcement Committee Hands Down First-Ever Decision

The French Anticorruption Agency (FAA) made an unsuccessful attempt to take its first enforcement this July as reported by a JD Supra news alert. The move followed the regulator’s three-month audit of an undisclosed company's corporate compliance program.  

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Best practices for high-performing compliance programs

It’s a tricky thing to understand what a high-performing compliance program actually looks like. Aside from activities and checklists and even anonymous tips, a high-performing compliance program must include the human element. Do we, as a company, believe we’re always doing the right thing? Because in the end, that is what compliance is all about.

We’ve been fortunate to work with and have at MCO some of the most respected leaders in the compliance space. And from them, we’ve crafted a few best practices for high-performing compliance programs that everyone can easily put into place.

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Tips and Technology for Managing SM&CR Compliance

With the Senior Managers and Certification Regime (SMCR) set to take effect on Dec. 9, solo-regulated financial firms in the U.K. are working hard to ensure they understand how the new rules will impact them and what they should consider when implementing new compliance measures.  

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Compliance & HR Strategies to Meet SMCR Requirements

The Senior Managers and Certification Regime (SMCR) will apply to all solo U.K. firms regulated by the Financial Conduct Authority (FCA) starting this December. There are three main requirements organizations need to adhere to from both a compliance and human resources perspective to comply with the SMCR by the end of the year.  

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Experts Speak Out on CCO's Most Common Anti-Corruption Challenges

The Wall Street Journal’s Risk & Compliance Journal recently partnered with Deloitte to report on Chief Compliance Officers (CCO’s) most common anti-corruption challenges. These include gaining C-suite buy-in for anti-corruption compliance programs, and innovative compliance strategies, among other topics. 

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