Compliance Bricks and Mortar for February 9

These are some of the compliance-related stories that recently caught my attention.


Asset Managers Show Less Concern About Compliance by Ben DiPietro

More than three-quarters of respondents said the reduced regulatory concern meant compliance issues are not as significant as they were in the past; 52% said they are more focused on reputational risk the last six months than regulatory risk. [More…]


How to Survive a Root Cause Analysis: Chapter 8 of The Worst-Case Scenario Survival Guide for Compliance Professionals by Tom Fox

For the first time, companies that sustain an FCPA violation are required to perform a root cause analysis and incorporate that information back into the compliance program. Learn how to survive. [More…]


Rabobank Unit to Forfeit $369 Million to Settle Money-Laundering Probe by Samuel Rubenfeld

The guilty plea comes about two months after George Martin, a former Rabobank vice president, entered into a deferred-prosecution agreement with the U.S. for his role in aiding and abetting the bank’s failure to maintain an effective compliance program. He agreed at the time, as part of his plea deal, to cooperate with the ongoing U.S. investigation. [More…]


Market regulators on crypto: We’re on it, but may need help by Ian McKendry

Testifying before the Senate Banking Committee, the heads of the Securities and Exchange Commission and the Commodity Futures Trading Commission said the two agencies are not ignoring the fast-growing cryptocurrency sector and they have some oversight powers. But they indicated that they might need more. [More…]

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