My notes, live, from the Richard Ketchum keynote at the Compliance Week Conference. Mr. Ketchum is the newly named chairman and CEO of FINRA. It is a terribly important time as financial markets are in the process of transformation. It was two years ago when the first signs of the credit crisis appeared. The silver [...]
Tag Archives | Compliance Week Conference 2009
Self-Assessments: Criteria and Procedures for Evaluating GRC Programs
My notes, live, from Self-Assessments: Criteria and Procedures for Evaluating GRC Programs, with Gracie Fisher Renbarger, Chief Ethics and Compliance Officer of Dell; Nan Stout, Vice President Business Ethics of Staples; and Carole Stern Switzer, President of OCEG. Carole started off with two observations: Designing, implementing, and improving a governance, risk management and compliance (GRC) [...]
Vetting Business Partners
My notes, live, from Vetting Business Partners, with Alexandra Wrage of Trace International to talk about how leading companies have approached this challenge in a global company. Due diligence on business partners is one of the most important things a company can do, but also one of the least interesting things. She points out that [...]
Luis Aguilar Keynote at Compliance Week Conference
My notes, live, from the keynote by SEC Commissioner Luis A. Aguilar: James Doty of Baker Botts introduced the Commissioner. (A disclaimer from the Commissioner: the speech is his opinion alone and not necessarily the view of the SEC.) The Commissioner titled his presentation “Reversing Course: Putting Investors First.” The focus should be on protecting [...]
Off To Washington
The rest of my week will be spent at the annual Compliance Week Conference in Washington, D.C. As I have done with past conferences, I plan to live-blog from open conference sessions. Essentially, I will be sharing my notes with you. (Assuming I have a steady internet connection and power supply.)
