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Why high-risk training is the missing link in modern surveillance
Technology may have transformed detection. Accountability, however, is still built by people, and institutions still need to be able to answer, “Who made the decision – and why?”
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Dubai regulator tells firms to improve policies on managing conflicts of interest
Review reveals shortcomings including lack of clarity in existing policies, failure to carry self-assessment, and narrow scope on what counts as conflict of interest.
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Video: Former police veterans Woods and McClements discuss fraud and investigation
Advice and opinion on best practice for both public and private sectors on how to detect and defeat fraud.
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Podcast: CCO Courtney Reid is optimistic about the state of compliance in 2025
US Content Manager Julie DiMauro spoke to Courtney Reid, CCO at MassMutual’s retail broker-dealer, about her outlook on the compliance role.
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Experts unplugged: Compliance training and the promise of AI
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
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The future of capital markets is alive and well
With new summer trainee hiring programs on Wall Street, pressure mounts on candidates to pass exams.
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Training strategies to boost Paraguay’s fight against corruption
In the final part of this series, Pat Poitevin offers his personal insight into training and boosting operational effectiveness in the UDEA.
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Podcast: Jack Castonguay and Rob Mason on ethics and exams
Rob Mason and John “Jack” Castonguay discuss recent and some years-old exam-cheating allegations at big audit firms.