In a recent episode of our podcast, we stepped away from our usual audience of compliance professionals to deliver an important message directly to CEOs and executive leadership. If you’re a top ...

I am often asked, when I speak at conferences, “Why compliance as a career?” To be completely transparent and honest, when I first started my career, what I was doing was not called “compliance” per ...

Bob Lavigne’s arrival as CCO formalizes a dual-compliance structure following the launch of Hightower Signature Wealth to ...

In this podcast Mary Shirley, Vice President, Chief Compliance and Privacy Officer, Scion Health, shares what to look for and how to protect yourself if this bad ...

When people ask me why I chose to be a compliance and ethics officer, my answer is simple: because what we do changes the world. I don’t mean that in a lofty or abstract sense. I mean it in the most ...

In November, board members, senior executives, chief audit executives, compliance officers, chief risk officers, and other professionals gathered at the SGV Knowledge Institute and SGV Consulting ...

Your approach to risk management and regulatory compliance is probably broken. Not because you don’t have capable people ...