PinnedPart Two — How to write a compliance monitoring programmeExample of Annual Compliance PlanSep 14, 2019Sep 14, 2019
How should compliance monitor KYC approvals?Monitoring Know Your Customer (KYC) approvals is a fundamental component of a financial institution’s compliance and anti-money laundering…Mar 8Mar 8
Why regulators might have more control over crypto exchange-traded products versus a laissez-faire…Cryptocurrency exchange-traded products (ETPs), including exchange-traded funds (ETFs), have garnered significant attention from both…Mar 6Mar 6
When good apples turn bad, how to tackle this problem as a compliance officerAddressing the issue of “good apples turning bad” in an organization, especially from a compliance perspective, involves a multifaceted…Feb 27Feb 27
Why compliance should be involved in corporate due diligenceInvolving compliance in corporate due diligence is essential for a myriad of reasons, primarily to ensure the organization operates within…Feb 26Feb 26
Formula 1 lessons for compliance programsMy enthusiasm for Formula 1 (F1) racing and my interest in applying lessons from team principal techniques to compliance programs highlight…Feb 25Feb 25
Don’t be ‘Penny-wise but pound foolish’— Hire the best compliance officer you canHiring the best compliance officer is an investment in an organization’s future stability and success. This essay will explore the reasons…Feb 21Feb 21
Is compliance a stressful career?Working as a compliance officer, specifically in a role designated as SMF16 under the UK’s Senior Managers and Certification Regime (SMCR)…Feb 211Feb 211
Aristotle's work on rhetoric — Compliance Officers should be inspired.Aristotle’s work on rhetoric and argumentation offers timeless insights that can greatly benefit compliance officers in formulating their…Feb 20Feb 20
Compliance Careers: Why I am passionate about the LLB Law DegreeStudying for an LLB law degree can be a profoundly enriching experience that lays a solid foundation for a career in compliance. The…Feb 171Feb 171