Category: In-House Perspective

In the wake of the financial crisis of 2008, the Dodd-Frank Act (“Dodd-Frank”) was signed into federal law on July 21, 2010.  At the time, the recession was considered the worst financial crisis since the Great Depression. It seemed like a 100-year storm.  As it turns out, it was only a 12-year storm.  The passage […]

Compliance officers are rarely popular people in any organization, even when things are in a steady-state. When it’s time to critique a member of the leadership team, it can test the resolve of the leadership team to demonstrate their commitment to the ethics and compliance program.  For the compliance officer who must deliver the message, […]

One of the more challenging aspects of regulatory compliance is measuring the return on investment (ROI). Efforts to measure ROI on compliance expenditures have historically been in terms of the cost savings of disasters averted. During uncertain economic times such as many organizations are now facing, the CFO will likely be unmoved by a “disaster […]