FMSB Issues Final Statement of Good Practice Conflict of Interest Risk

The FICC Markets Standards Board (FMSB) published the final version of a Statement of Good Practice on the issue of Conflicts of Interest in early October. The guidance is intended to give organizations practical, working level direction and examples to learn from as they determine how to prevent and mitigate conflicts of interest that arise within their enterprises. 

Read More

Five Steps to an Effective Internal Compliance Committee

Almost every sizeable company likely has an internal audit committee in place. But many organizations have now recognized the valuable role an internal compliance committee can play as well. An internal compliance committee can help institute a culture of compliance and ensure an organization’s employees understand and perform their part in addressing critical regulatory requirements.   

Read More

CCO's Make Their Voices Heard in CW Survey

Unlike many jobs, there typically isn’t a straight career path toward becoming a compliance officer. In fact, nearly 90 percent of the 290 respondents to Compliance Week’s first annual “Inside the Mind of the CCO” survey started their careers in a different field 

Read More

C-Suite Involvement Crucial to Compliance Program Sucess

Integrating the compliance function into an organization’s C-Suite not only improves crisis preparedness but also helps protect the bottom line. Performing that integration is not always so easy, however. The first roadblock is the C-level structure itself. 

Read More

SEC Issues New Conflict Rules Amid Praise and Criticism

The U.S. Securities and Exchange Commission (SEC) approved new conflict of interest rules for brokers this past week. The regulations mandate brokers act in the “best interest” of clients. They require the financial services industry to clamp down on potential conflicts such as contests rewarding brokers for selling more securities than peers and exclusively selling their employers’ products.  

Read More
"成av人欧美大片--成人大片- 看黄a大片"