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Harry Cassin
Publisher and Editor

Andy Spalding
Senior Editor

Jessica Tillipman
Senior Editor

Richard L. Cassin
Editor at Large

Elizabeth K. Spahn
Editor Emeritus

Cody Worthington
Contributing Editor

Julie DiMauro
Contributing Editor

Thomas Fox
Contributing Editor

Marc Alain Bohn
Contributing Editor

Bill Waite
Contributing Editor

Shruti J. Shah
Contributing Editor

Russell A. Stamets
Contributing Editor

Richard Bistrong
Contributing Editor

Eric Carlson
Contributing Editor

Bill Steinman
Contributing Editor

How co-working magnifies compliance perils

My writing desk these days is located in a co-working space in Austin, Texas. The atmosphere is bright, cheerful, and totally informal. But for some of the companies working here, this space is also an unrecognized compliance minefield. … Continue Reading

Extend the privilege to compliance officers

The privilege is there to protect the privacy of our most important conversations. It’s a rule of evidence that excludes certain private statements from being used in legal, regulatory, or administrative proceedings.… Continue Reading

What does an effective compliance officer look like in 2019 and beyond?

Undoubtedly, one of the most valuable assets to a company in managing the ever-changing and complex regulatory landscape, and responding to these identified trends and risks, is having the very best compliance officers equipped with the tools to enhance their skills and influence. 

Compliance officers are integral to the pursuit of a company’s commercial objectives, supporting and empowering the business to achieve them in an ethical and compliant way and embedding ethics and compliance within the company’s culture.… Continue Reading

UK fines compliance officer for his firm’s bad advice

The Financial Conduct Authority penalized a compliance officer Friday for allowing customers of the wealth management firms he worked for to receive wrong advice about their pensions.

David Watters was fined £75,000 ($98,000) for failing to “exercise due skill, care and diligence in his role as compliance oversight officer” at two firms.… Continue Reading