Just as risk assessment is the bedrock for an effective compliance program, root cause analysis (“RCA”) similarly underpins successful remediation of compliance violations. The DOJ’s March 2023 Evaluation of Corporate...more
What was it like to be at one of the world’s largest companies while it was subject to a monitor? In this episode, Cindy Moehring highlights some of the key lessons learned from working with a monitor, and taps into Michele...more
7/21/2022
/ Banking Sector ,
Banks ,
Chief Compliance Officers ,
Chief Ethics and Compliance Officers (CECO) ,
Compliance ,
Compliance Monitoring ,
Corporate Counsel ,
Enforcement Actions ,
Financial Institutions ,
Financial Services Industry ,
Risk Management
Monitorship: a term typically met with fear, but it doesn’t have to be. What’s at stake when a monitor comes on board? Are there global considerations at play? Cindy Moerhing, Michele Edwards and Emilia Drozda highlight keys...more
7/20/2022
/ Banking Sector ,
Banks ,
Chief Compliance Officers ,
Chief Ethics and Compliance Officers (CECO) ,
Compliance ,
Compliance Monitoring ,
Corporate Counsel ,
Enforcement Actions ,
Financial Institutions ,
Financial Services Industry ,
Risk Management
As the regulatory landscape changes across the globe, how will monitorships fit into the puzzle? In this episode, Cindy Moehring, former Chief Ethics and Compliance Officer (U.S.) for Walmart, sits down with StoneTurn’s...more
7/19/2022
/ Banking Sector ,
Banks ,
Chief Compliance Officers ,
Chief Ethics and Compliance Officers (CECO) ,
Compliance ,
Compliance Monitoring ,
Corporate Counsel ,
Enforcement Actions ,
Financial Institutions ,
Financial Services Industry ,
Risk Management