Recordkeeping among a compliance officer’s greatest allies
By 
Martin Woods2020-12-30T18:53:00
Martin Woods writes how a recent case in the United Kingdom should remind us of the importance of our own communications and recordkeeping—especially during a time where it has perhaps never been more important.
THIS IS MEMBERS-ONLY CONTENT
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
Related articles
-
ArticleCompensation or compromise? The risks of compliance bonuses
Financial crime expert Martin Woods assesses whether incentivizing compliance officers with bonuses may undermine the importance of performing the job with integrity and credibility.
-
ArticleUsing data to fight fraud fire with fire
When it comes to ferreting out and thwarting fraud, one must think like the fraudster, advises financial crime expert Martin Woods, who offers tips on using data to make your firm a hostile environment for bad actors.
-
ArticleAnalysis: Don’t ignore financial misconduct in ‘plane’ view
Compliance officers must let go of the fear that often accompanies respect for big money (or luxurious aircrafts) and hold the difficult conversations when ferreting out bad actors, writes financial crime expert Martin Woods.
More from Opinion
-
PremiumTop Ethics and Compliance Triumphs of 2025
This year’s compliance triumphs were all born out of compliance fails. In some cases, it was a regulator finding fault and demanding change. In others, acquiring companies noticed something a little fishy in their new acquisition. What formed a compliance triumph in every case wasn’t the mistake; it was the ...
-
OpinionBribery exposure doesn’t start with policy failure. It starts with training.
Anti-bribery and corruption failures in financial institutions rarely stem from bad policies.
-
ArticleWhat 2025’s AI mishaps should teach compliance in 2026
If 2025 was the year generative AI took off in organizations in every sector, it was also the year we saw increasing examples of the risks of AI mishaps.