By Securities Docket on February 8, 2012, 9:16 pm
Stress level of compliance officers may be rising even higher.
Posted in Industry, SEC, Top | Tagged Compliance
By Securities Docket on February 5, 2012, 6:11 pm
SEC official warns that “compliance programs are front and center for us.”
Posted in SEC, Top | Tagged Compliance
By Securities Docket on February 3, 2012, 1:52 pm
Former chief risk officer at MF Global claims he was let go after ringing alarm bells about the firm’s exposure to European sovereign debt.
Posted in Industry, Top | Tagged Compliance
By Securities Docket on February 1, 2012, 3:05 pm
Due diligence of suppliers is now on the rise.
Posted in Criminal, Industry | Tagged Anti-corruption, Compliance, Web Watch
By Securities Docket on January 31, 2012, 3:30 pm
Managing FCPA risk to C-level employees.
Posted in Criminal, SEC | Tagged Compliance, FCPA, Web Watch
By Securities Docket on November 29, 2011, 5:11 pm
Why do compliance practitioners “vastly overstate the risk that the FCPA brings to companies?”
Posted in Criminal, Industry, SD Insider, SEC | Tagged Compliance
By Securities Docket on June 16, 2011, 4:06 pm
It turns out that it is not just the comedy pros who have a sense of humor in this area.
Posted in Industry, Top | Tagged Compliance, Humor
By Securities Docket on May 23, 2011, 6:05 pm
Analyzing how the DOJ credits corporate compliance programs.
Posted in Criminal | Tagged Compliance
By Securities Docket on April 19, 2011, 3:04 am
Some say CCOs may rise in companies to a level equal to GCs and CFOs.
Posted in Industry, Top | Tagged Compliance