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Compliance Risk Management: A Game-changing Strategy in Mergers & Acquisitions
In a context where companies are facing increasingly complex regulatory requirements, more stringent legal enforcement restrictions and NGO activism (including ethical and environmental), the compliance part of the M&A due...Read more
Camelia Gardot
Compliance Partner- Head of Connected Intelligence, Airbus, France
Isabelle Rust
Head of Third Party Compliance Management , Airbus Defence and Space, Germany
Bridging the Savings and Investing Gap: A New Approach to Terms for Retail Investment Services
In this article we discuss how our work putting a better understanding of consumers at the heart of everything we do and our work readying Barclays for Open Finance, incentivised...Read more
Claire Mooney
Lawyer, Barclays, UK
Sally Wallwork
Lawyer, Barclays, UK
Critique of the U.S. Department of Justice Evaluation of Corporate Compliance Programs
On April 30, 2019, the U.S. Department of Justice, Criminal Division (the “DOJ”) published updated guidance (the “DOJ Guidance”) on the evaluation of a company’s corporate compliance program (a “CCP”)....Read more
Bruce Ortwine
General Counsel (retired), Americas; Adviser, Global Legal and Compliance (Retired), Sumitomo Mitsui Trust Bank, Limited and Sumitomo Mitsui Trust Holdings, Inc., USA
Compliance Red Flags: What Companies Should Look Out For in Times of Change
Although we know that compliance is everyone’s responsibility, we also understand that company personnel are focused on their primary roles and responsibilities, and because of this, compliance requirements may not...Read more
Fabiana Lacerca-Allen
Chief Compliance Officer, Cipla, USA
Tatiyana Akers
Associate Director, Compliance, Aimmune Therapeutics, USA
Laura Hamm
Sr. Director, Corporate Compliance, Aimmune Therapeutics, USA
Brenda Crabtree
Director, Compliance Auditing and Monitoring, Aimmune Therapeutics, USA
When the Government Comes Knocking
Its 6:15 AM and a knock at the door arouses you from your sleep. In shorts and a tee shirt you go to the door and ask who is there....Read more
Robert Schwartz
General Counsel and Chief Compliance Officer, Deer Park Road Capital Management Company, USA
Driving Transparency in Corporate Compliance:
A Suggested Approach for using Technology to Influence Behavior for the New Decade
The field of corporate compliance has largely developed in response to the establishment and maturation of various regulatory and criminal enforcement regimes. The 1970’s represented the introduction of some of...Read more
Hui Chen
Founder, HuiChenEthics. com, USA
Driving Transparency in Corporate Compliance: A Suggested Approach for using Technology to Influence Behavior for the New Decade
The field of corporate compliance has largely developed in response to the establishment and maturation of various regulatory and criminal enforcement regimes. The 1970’s represented the introduction of some of...Read more
Matthew Galvin
Global VP Ethics & Compliance , AB InBev , USA
Compliance with New Anti-Money Laundering Requirements in
New York State
Anti-money laundering requirements, specifically those prohibiting the funding of countries and entities subject to U.S. sanctions laws, continue to be a top priority of bank regulatory agencies in the United...Read more
Bruce Ortwine
General Counsel (retired), Americas; Adviser, Global Legal and Compliance (Retired), Sumitomo Mitsui Trust Bank, Limited and Sumitomo Mitsui Trust Holdings, Inc., USA
From Compliance to Commitment: The Way We Work at Walmart
Walmart was my first introduction to the retail business. Before moving from Houston, Texas, to Bentonville, Arkansas, I spent the prior twenty years working for other large corporations in different...Read more
Daniel Trujillo
Chief Ethics & Compliance Officer Walmart International, Wal-Mart Stores, Inc., USA
6 Steps to Compliance with the DOL Fiduciary Rule or a Uniform Fiduciary Standard
This treatise is designed to provide all financial advisers with practical guidance to achieving compliance with a fiduciary standard of care regardless of their specialty within the financial services industry....Read more
Vince Micciche
CEO and Chief Compliance Officer, LifeMark Securities Corp, USA