Most people would say yes to this question. I think the answer is more complex. A stand alone compliance program could not prevent the over-exuberance, excessive risk taking, and ethical lapses that lead to the meltdown. The inspiration for this post came from an article by David Hechler, Risky Business: Did compliance programs fail the [...]
Tag Archives: David Hechler
Short Bites
Here are a few stories and items that caught my eye, but I have not had time to build-out to a full post: Reminder to Review Insider Trading Compliance by Melissa Klein Aguilar for Compliance Week The SEC settled an administrative proceeding this month involving Merrill Lynch based on the firm’s failure to have adequate [...]
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