Jun 29, 2023 A rolling 'bad apple' should gather no easy job: the FCA’s expectations for a healthy culture & a call to action on prior misconduct in onboarding By Sarah Lambert-Porter Eve Ellis Amanda Raad Nitish Upadhyaya +1 more... Show less Corporate culture is (and has for many years been) a significant area of focus for the FCA and central to its supervisory model. The...
May 25, 2023 The one with the snazzy compliance training videos By Nitish Upadhyaya Hui Chen The Wall Street Journal reported last week that Microsoft employees are hooked on a series of compliance training videos. Blockbuster...
May 22, 2023 Financial services: banking on AI? By Edward Machin Last week I had the pleasure of speaking on a panel at the NICE Actimize conference in London, where we explored the applications,...
Apr 11, 2023 Five insights and actions to enhance compliance programs By Nitish Upadhyaya Caitlin Handron Authors: Caitlin Handron, Nitish Upadhyaya, Scott Young How can cultural psychology and behavioral science be leveraged to improve...
Mar 13, 2023 DOJ’s new Pilot Program for compliance incentives underscores the need to both gather data and interpret it wisely By Megan Zwiebel Recently, the Department of Justice announced a slew of changes to how it will evaluate compliance programs when making charging...
Feb 22, 2023 How rearranging furniture helped change a culture By Hui Chen This is a story of unlikely success, with many lessons to offer. If there is one institution that is symbolic of dysfunction, the U.S....
Feb 22, 2023 Reflections on the FCA’s pilot study into understanding diversity and inclusion in financial services By Nitish Upadhyaya Amanda Raad Eve Ellis The timing of the release of the results of the FCA’s pilot study into understanding diversity and inclusion in financial services just...
Dec 05, 2022 Haute culture. How do firms measure up? By Nitish Upadhyaya Amanda Raad Eve Ellis Sean Seelinger +1 more... Show less Culture is very much back in vogue. After a brief hiatus while supervisory, regulatory and enforcement agencies scrambled to keep up with...
Oct 27, 2022 Lessons from the latest ICO fine By Edward Machin Do you hear that sound? It’s the deafening groan of all those people having to take their mandatory GDPR training. It’s not going to...
Oct 18, 2022 Innovation doesn't just come from processes and technology - people drive ideas and change By Nitish Upadhyaya It’s certainly an exciting time for innovation and innovators at law firms, with a host of efforts – including firmwide engagement...
May 24, 2022 Why a values-based approach to anti-corruption is the paradigm shift organizations have been waiting for By Caitlin Handron Corruption costs the global economy an estimated $3.6 trillion a year. This figure hints at a daunting inference: business-as-usual in...
Oct 01, 2021 Big banks are big on behavioural risk By Sarah Lambert-Porter Amanda Raad Zachary Coseglia Once upon a time, not so very long ago, the existence of an in-house multi-disciplinary team dedicated to addressing behavioural risk was...
Jul 05, 2021 Why (and how) leopards can actually change their spots By Sarah Lambert-Porter Following on from our collaboration with Transparency International UK (TI UK) on their recent ‘Make it Count’ report (discussed in our...
May 06, 2021 Why (and how) every company should measure the effectiveness of its approach to anti-corruption By Sarah Lambert-Porter Zachary Coseglia, Amanda Raad, and I were happy to sponsor and contribute to Transparency International UK’s latest report, Make It...
Feb 25, 2021 Compliance programmes - window-dressing or part of a company's DNA? By Amanda Raad In an online speech at a Society of Corporate Compliance & Ethics conference, Lisa Osofsky, Director of the UK's Serious Fraud Office,...
Sep 15, 2020 Using data ethically By Ropes & Gray I was delighted to participate in this episode of R&G Insights Lab’s podcast series, Culture & Compliance Chronicles on using data...