This white paper explores the top objectives, pain points and programme strategies for ethics and compliance professionals. The paper further helps organisations evaluate their ethics and compliance programme in a broader context.
Financial Services Whistleblowing Regulation Survey – Assessing the impact of the FCA/PRA senior managers regime whistleblowing rules
This white paper examines organisational approaches to whistleblowing and incident reporting. The paper provides findings, analysis and recommendations into the impact of the new whistleblowing rules issued by the Financial Conduct Authority and the Prudential Regulation Authority.
This report analyses various organisational approaches to third party risk management and due diligence. The report further discusses the top challenges to third party risk management programs.
The webinar will explore the new trends for reporting your whistleblowing hotline and discovers benchmarks you can use to evaluate your own results.
This report outlines some of the main benchmarks for ethics and compliance programs, as well as giving an insight into how to calculate and capitalise on them.
This webinar examines the top priorities and major challenges that ethics and compliance professionals are currently facing. The webinar offers recommendations and best practices that can be taken away and used within your own businesses.
This report examines the responses from 247 ethics and compliance business professionals and explores what drives investment in compliance, the key risk areas and potential challenges.
Pioneering leadership and navigating risk to reach the summit: Exclusive video content from the Family Office Leadership Summit
Lord Alan West has worked in many professions. These range from cyber security and Olympic safety to counter terrorism. This video shares his experiences from his prolific career on how through effective leadership, even the worst of storms can be weathered with ease and risk mitigated to the…
This whitepaper is designed to clarify the due diligence obligations of financial institutions and other entities, challenging assumptions about Politically Exposed Persons (PEPs) and how they should be treated.
On 14 November 2012, a new resource guide to the US Foreign Corrupt Practices Act was issued by the Department of Justice and the Securities and Exchange Commission. Baker & McKenzie provides a synopsis of the most important provisions of this 120 page document.