By Joe Mont2016-02-23T20:30:00
Image: A term of the moment in regulatory circles is “culture of compliance,” a desire for firms to move beyond check-the-box rules and compliance demands by making good behavior part of their corporate zeitgeist. We spoke to Barbara Boehler, a regulatory compliance expert at Wolters Kluwer, about how to define ...
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2017-02-28T20:00:00Z By Jaclyn Jaeger
Kelly Noll, chief ethics and compliance officer at Allstate, shares how the insurer fosters a culture of ethics built on integrity, honesty, and accountability. Interview by Jaclyn Jaeger.
2016-12-13T09:30:00Z By Jaclyn Jaeger
Jaclyn Jaeger talks with Carey Roberts, deputy general counsel and chief compliance officer of Marsh & McLennan Cos., about her unique dual legal and compliance role.
2025-12-24T19:04:00Z By Tom Fox
FINRA’s rules are intended to be technologically neutral. They apply when companies use GenAI or similar technologies in their businesses, just as they apply when companies use any other technology or tool. But what does that mean for a compliance professional using GenAI?
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