RESULTS FOR: Regulatory Compliance
Roundtable Discussion: Off-Channel Communications and Mobile Surveillance Policies
Surveillance, monitoring, escalation, and reporting are critical components to regulatory compliance and risk management. So is consequence management. These are especially important given the major penalties and remedial steps required of banks and swap dealers, and in view of recent US Department of Justice (DOJ) expectations over “Off-Channel Communications”.
These regulatory and ethical expectations aren’t easy to execute, especially when employees have access to so many modes of video, audio, and social … Read More
In 2022, companies are likely to see an increase in white collar and regulatory investigations and enforcement actions. Here are just a few reasons why this is likely to happen. First, in the late fall, Deputy Attorney General Lisa Monaco indicated that the Justice Department would bring a renewed focus on corporate crime and that the Department was “going to find ways to surge resources” to its prosecutors. In January, another senior Justice Department official, Nicholas McQuaid, said at a … Read More