When it comes to risk, most of us would rather be fire marshals than firefighters; that is, battling a raging inferno is far less preferable to taking smart, precautionary measures…
Jay GilletteJune 4, 2019
(8 min read) It doesn't matter if you hear it from a doctor, a teacher, or a financial regulator, the word “exam” is rarely something to look forward to. Whatever…
Jay GilletteMay 1, 2019
For compliance executives, steering clear of inadvertent involvement in money laundering should be a top priority. The challenge, of course, is that money laundering typically happens in the financial shadows…
Jay GilletteApril 8, 2019
Market manipulation schemes can subject financial firms to enormous penalties and, in some cases, tear down the enterprise altogether. How can executives protect against the outsized harm of market manipulation?…
Jay GilletteFebruary 25, 2019
Friction between the compliance department and the rest of the business often stems from a fundamental misunderstanding of the overall function of compliance. Here we explore how leaders can reshape…
Jay GilletteDecember 3, 2018