Compliance officers looking for something good to read, look no further! Massachusetts regulators have released a preliminary report from the compliance monitor overseeing troubled casino business Wynn Resorts, with glimpses into everything from tone at the top, to policies and procedures, third-party oversight, internal controls, and more. The 118-page report became public as part of…
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The Commodity Futures Trading Commission updated its enforcement manual last week for the first time in 26 years, with a heap of attention paid to the importance of corporate compliance programs when firms are looking to reduce potential monetary penalties. The update, published as a four-page memo from the CFTC Enforcement Division on May 20,…
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The Compliance Jobs Report this week has the new CCO at Boeing, layoffs in compliance staff at Uber, a new risk and compliance boss at Moderna Therapeutics, and a bunch more promotions and new hires. Notable job openings this week include a CCO role for a disaster relief group, and our Meme of the Week…
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News for all you guidance enthusiasts: COSO just released a 40-page primer on how to define your organization’s risk appetite, and then weave that risk appetite into corporate strategy and decision-making. The booklet is available for free on the COSO website, and is the latest in a series of smaller, focused pieces of guidance that…
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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.