We often discuss the importance of a “Speak Up” culture. We encourage employees to report their concerns, we emphasize the important of such reporting to the life of an organization. Chief Compliance ...

Chief Compliance Officers need the support of their Board of Directors. The relationship between the CCO and the head of the Audit/Compliance Committee sends an important message to senior management ...

A chief compliance officer (CCO) is a member of your firm’s team who can help protect your business from potential legal or regulatory issues. Registered investment advisors must have a CCO serving at ...

In 2016, FINRA decided to take a closer look at how firms integrate compliance into their culture. Although this focus didn’t make it into the 2017 exam priorities letter, it stands to reason that ...

Changing times call for different leadership skills. More than ever before, company stakeholders expect more from their C-suite executives, who need to have skills closely aligned to today’s business ...

Interested in writing for CW? Compliance Week accepts outside contributions from corporate chief compliance officers and other senior-level GRC practitioners. To learn more, contact the CW Editor.