It is tempting for organizations to downplay compliance violations as an isolated event attributable to a few bad apples. However, experience teaches that misconduct is often worse than initially thought. Wrongdoers who...more
Just as risk assessment is the bedrock for an effective compliance program, root cause analysis (“RCA”) similarly underpins successful remediation of compliance violations. The DOJ’s March 2023 Evaluation of Corporate...more
Turbulence in the financial services sector is proving to have a significant impact on the global financial ecosystem. For organizations large and small, now is the time to reflect on key questions to solidify risk management...more