Citing a lack of due diligence by broker-dealers, the Securities and Exchange Commission on Monday issued a Risk Alert...
Tag Archive for: compliance
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Managing Compliance Costs through Risk-based Due Diligence
admin, , Due Diligence, Risks, bribery, compliance, Compliance Risk, criminal penalties, Due Diligence, mitigate risks, reputational damages, risk profile, Risks, 0Third party due diligence is a key component of any robust compliance program. Many companies go to great lengths...
Good Compliance is Good Business: The Tangible Benefits of an Integrated Approach to GRC
admin, , Industry News, compliance, 0Compliance professionals are often challenged with effectively making the business case for—and explaining how—an integrated approach to governance, risk and...
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