Julie DiMauro | Contributing Editor
Julie DiMauro is the Director of Compliance Programs and Training for Compliance Week.
Prior to her time at Compliance Week, she served as a regulatory Intelligence Expert in the Legal Department at Thomson Reuters.
She can be reached at on Twitter @Julie_DiMauro.
Recent Posts
Julie DiMauro on the cost of compliance: Handling regulatory overload with fintech
Compliance officers are experiencing regulatory fatigue and overload in the face of ever-changing and growing regulations. How they deal with the onslaught depends upon their resources and risk profile, among other considerations.
Julie DiMauro: Best practices for today’s CCO
Let’s start this discussion with: Know the business.
Julie DiMauro: The State of the Chief Compliance Officer in 2016
The compliance profession has seen a significant transformation in responsibility, accountability and technology since the financial crisis erupted in 2008.
Julie DiMauro: A compliance plan to keep forced labor and human trafficking out of your supply chains
In January, the U.S. Supreme Court decline to consider an appeal by three companies — Nestle SA, Cargill Inc., and Archer Daniels Midland Co. — that sought to dismiss a lawsuit alleging they aided and abetted child slave labor on coca plantations in Africa.
DiMauro and Fava: What can we expect from Hui Chen?
In November, the Department of Justice confirmed the rumors that had circulated all fall about an appointment it was making in its Fraud Section: Hui Chen was selected to occupy the new role of in-house compliance counsel.
Julie DiMauro: Let’s keep the compliance monitor’s report confidential
The use of corporate monitors by judicial and regulatory government agencies to verify an organization’s compliance with settlement agreements and orders resolving corporate accountability continues to rise. The growing use of monitors has raised questions about the privacy of their reports and the public’s access to their findings.
Julie DiMauro on cheating trainees: A future where training and compliance are merged
Reports of trainee bankers cheating on internal exams at JP Morgan’s New York office and at Goldman Sachs in London and New York point to the need to prepare for a future in which training and compliance are merged.
Julie DiMauro: SEC warns on cybersecurity compliance and enforcement
On September 15, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a new cybersecurity risk alert. In it, the SEC reemphasized its intention to conduct a second phase of cybersecurity examinations of investment adviser firms.
Julie DiMauro: Best practices for sales compliance
In my prior post for the FCPA Blog, I talked about government and industry guidance for avoiding elder abuse in sales practices. In this post, I’ll discuss best practices for disclosure in general and a compliant sales function.
Julie DiMauro on sales: Compliance tips to avoid elder abuse
According to research collected by the North American Securities Administrators Association (NASAA), although people age 60 and older make up 15 percent of the U.S. population, they also account for about 30 percent of fraud victims.