The Senate Banking Committee dipped its toes this week into the future of fintech regulation, debating whether that future should mean implementing new rules to cover the emerging sector or shedding existing financial regulations that might hamper innovation. The hearing included testimony from representatives of fintech and financial services companies as well as academia. Committee…
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More than 1,700 audit and compliance professionals have gathered in Nashville this week for Workiva’s annual user conference and the annual meeting of the SOX Professionals Group. Yours truly is on the scene, trying to capture all the good insight and latest news on SOX compliance. Here’s what we have from Day 1. Tuesday was…
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Now that Brett Kavanaugh’s nomination to the Supreme Court has turned into a #MeToo meltdown, ethics and compliance officers should roll up their sleeves. Peel away the political dimension to this mess, and plenty of lessons emerge about investigations, whistleblower reports, and corporate values that are worth contemplating. We have several threads to pull: how…
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This week the Compliance Jobs Report has CCO personnel moves at Vanguard, Deutsche Bank, Realogy Holdings, and the lovely city of Beverly Hills. Several compliance professionals have hit career milestones, we have a few cool job openings, and our Meme of the Week goes out to all you business ethics specialists. I gather these bits…
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Technically, Radical Compliance is the personal blog of Matt Kelly, long-time writer and observer of the corporate compliance and GRC scene. I was a writer, editor, and publisher at Compliance Week, 2003 through 2015; some of you may know me from my career there. I also speak frequently at compliance conferences and other events, and will pretty much shoot the breeze on any compliance topic with anyone who asks.