Does the US presidential pardon power render CCOs, CROs, and MLROs obsolete? Former CCO Andrew Williams explores this issue.
Compliance as a Profession
A couple of recent sanctions actions by OFAC are reminders of the need to monitor red flags and appreciate business partner risk.
Compliance officers are taking on more tasks outside their office role, while regulatory expectations have increased.
We spoke to Stöckle about his career to date including his CTO role, the AI challenge for audit, and how KPMG is upskilling current teams.
Stephen tells us about his career to date, offers valuable advice to those entering the privacy profession, and provides insight into his work on the film "Privacy People."
Alex tells us about representing clients before the SEC, FINRA, and state securities regulators and shares his experiences dealing and working with senior regulatory figures.
A systems-level analysis of structural compliance failure and post-notice continuation.
A thorough understanding of this interaction is important for financial institutions, advisers, and regulators to establish inclusive and fair systems.