Nov 02, 2023 Corporate Counsel Insights: Scott Corrigan, Standard Chartered Bank By Sean Dowd In our inaugural interview of Corporate Counsel Insights, we spoke with the Global Head of Disputes and Government Investigations at...
Apr 22, 2022 Purpose Plus Profit: Heritage Trees and ESG By David Bligh Two heritage trees (trees with a circumference of 100 inches or more) were illegally cut down earlier this year. Residents of the DC area...
Jan 19, 2022 Gamifying the internet By Tim Roberts Microsoft has made some bold statements about its ambitions regarding the immersive future of the internet - aka the metaverse - but...
Nov 08, 2021 SEC pursuit of admissions of wrongdoing increases pressure on compliance programs to perform By Cliff Lam Recent news that the Securities and Exchange Commission (SEC) will be pursuing an aggressive plan to seek admissions of wrongdoing before...
Sep 17, 2021 Reaching One Billion - SEC Whistleblower Awards Eclipse $1 Billion By Jim Barratt How long does it take to reach one billion? Ray Kroc, the founder of the McDonald’s food franchise, posted the number of total...
Sep 15, 2021 ESG in focus: Compliance – Part 2 of 4 By Gautam Sachdev Paul Brabant The increasing magnitude and frequency of disruptive forces is affecting organisations globally from five perspectives – economic,...
Jun 28, 2021 Shaping culture through actions not words By Tim Roberts It is very common for regulators, CEOs and senior compliance executives to talk about 'tone from the top' and the need to communicate...
May 31, 2021 Lessons learned from Ewarton's incident By Cliff Lam Hong Kong Securities and Futures Commission (SFC) has recently reprimanded and slapped a local securities firm, Ewarton Securities...
May 18, 2021 What is the prize for compliance? (or the price for non-compliance?) By Cliff Lam The recent regulatory findings on Crown's governance and compliance culture have led to significant changes to its management and board...
Nov 11, 2020 There's not a finish line when it comes to managing financial crime risk By Tom Scampion AML and sanctions risks continually change and FIs need to design programmes accordingly. Financial Crime will remain a focus of all...
May 20, 2020 Transforming compliance through the pandemic and beyond By Tim Roberts New compliance risks are emerging rapidly, both in terms of the potential damage to customers and markets, but also in terms of the...
May 18, 2020 'Build back better' is the maxim to deliver New World Compliance By Tom Scampion Gillian Tett argues that the impetus to adopt ESG principles is likely to increase as we progress through the crisis. We agree. To...
May 18, 2020 Environmental Risks and the Case for New World Compliance By AlixPartners An unbroken climate change trend and a zoonotic virus causing a pandemic with a global economic crisis as aftermath. Environmental risks...
Apr 16, 2020 Maintaining compliance during the pandemic By Tim Roberts The financial regulators in the UK have been quick to articulate how their expectations of banks and other regulated firms will reflect...