Compliance

UK’s FCA Turns Up the Heat on Wholesale Brokers over Compliance & Culture

Despite not being known as bastions of best practice for compliance, conduct, or culture, wholesale brokers in the United Kingdom have avoided the wrath of…

Rachel Wolcott May 10, 2019

Knocking on Government Doors: How Do You Respond to the Government Knocking on Your Door?

In the conclusion of her blog series, “Knocking on Government Doors”, Irene Liu, vice president and general counsel at Checkr, discusses proactive engagement strategies to…

Irene Liu April 15, 2019

UBS’s Record Fine Lays Bare the Continued Struggle with Change Management and Quality Control in Financial Markets

UBS's record £27.6 million fine for Markets in Financial Instruments Directive I (MiFID I) transaction reporting errors clearly demonstrates the struggle financial services firms are…

Rachel Wolcott April 10, 2019

Risk Professionals’ Understanding of AI Vital to Effective Discharge of Responsibilities

As the financial services sector sees more deployment of artificial intelligence (AI) in various functions, risk and compliance professionals will face increasing challenges in discharging…

Legal Executive Institute March 27, 2019

10 Things Compliance Officers Need to Do in 2019

By many, 2018 was seen as the year that the job of compliance officers grew even wider. Now, not only are risk and compliance officers…

Susannah Hammond March 08, 2019

Survey of Canadian Corporate Counsel Finds Risk Management, Outside Counsel Partnerships Most-Concerning Issues

Many in-house counsel who participated in Canadian Lawyer magazine’s "2018 Corporate Counsel Survey" cited risk management as the top issue facing legal departments in the past…

Legal Executive Institute February 22, 2019

On the Ground at ACAMS in Las Vegas: The CDD Rule, So Far

LAS VEGAS — It has been almost six months since the Financial Crimes Enforcement Network (FINCEN) implemented the Customer Due Diligence (CDD) Rule. So, what…

Gina Jurva October 05, 2018

Forum Magazine: Beyond GDPR — What Does Best Practice in Data Privacy Mean?

The European Union’s General Data Protection Regulation (GDPR) has been one of the biggest regulatory concerns of the decade, across the EU and beyond, forcing…

Tom Bangay September 27, 2018

Cybersecurity & Regulatory Concerns Cited as Corporate Legal Departments Strive for Efficiency, According to New Thomson Reuters Survey

Corporate legal departments, already stretched by limited resources, are confronting new, as well as traditional, challenges, according to the 2018 Thomson Reuters Corporate Legal Department…

Legal Executive Institute September 25, 2018

Automotive Industry Forum Preview: As the Auto Industry Transforms, It Grapples with Issues of Cybersecurity, IP & Connectivity

The American automotive industry in no longer making your father’s Oldsmobile — not by a long shot. Today, pushed by evolving consumer behaviors, transformative technologies,…

Gregg Wirth September 24, 2018

Making Time for Compliance and Risk Management: A Perspective from Thomson Reuters’ Assistant GC Jamila Jean

Let’s say that you’re a busy executive, and there’s an upcoming appointment on your calendar to talk about risk and compliance issues. There’s a decent chance that…

Legal Executive Institute September 20, 2018

Public-Private Partnerships & Information Sharing in Fighting Financial Crime (Part 1)

In a new occasional series on the Legal Executive Institute blog, we will speak with experts in the financial sector, government, law enforcement, and non-profits…

Gina Jurva September 12, 2018