Articles | Compliance Week – Page 314
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Article
A Strategic Approach to Conduct Risk
As we all know, ill-advised risk taking in the financial sector led the industry to the brink of collapse in recent years. Not only that, but sales schemes driven by inappropriate incentive plans and outlandish short-term objectives caused many consumers to suffer severe financial consequences and lose trust in the ...
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Article
Internal Investigations Increasingly Falling on Audit Committees' Plate
A growing number of audit committees are finding themselves in charge of overseeing internal investigations, and some may be ill-prepared to take on the duty.A recent report from EY and law firm Squire Sanders says more than 70 percent of all public companies undertake some kind of internal investigation. “With ...