One of the areas that many companies have not paid as much attention to in their compliance programs is compensation and incentives. However, the Department of Justice (DOJ) and Securities and ...

Welcome to a special five-part podcast series on Operationalizing Your Compliance Program, sponsored by Broadcat LLC. Over this series, I visit with Jennifer May, Director of Compliance Advisory; ...

At Norwich University, we always encourage our students to write for publication rather than simply to meet course requirements. As a result, many of our students forward interesting articles for ...

Virtually all firms are maintaining or raising their compliance budgets Most advisors keep annual compliance budgets under $50,000, and more than half stick to a budget of less than $25,000. Those ...

It’s a slow train, but it’s moving on. This line from a great old song by the Staples Singers feels very applicable not just to life, but also to the Foreign Account Tax Compliance Act (FATCA). After ...