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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.
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Podcast: Jeannette Lichner on the evolution of financial services
In the latest GRIP podcast episode, we touch on technological change, flexible work, and switching careers.