Building a culture of compliance: Getting the foundations right

A ‘culture of compliance’ is a term that’s often used by firms and regulators alike, but what does it all mean in practice? How can you start moving things in the right direction while understanding, managing and reducing possible risks?

In our first webinar examining compliance culture, we took a closer look at what success looks like and how it’s brought to life, with some practical steps along the way. We focused on:

  • what “culture of compliance” really means
  • how a strong culture can impact an SEC exam
  • the early warning signs of poor culture
  • what you can do to improve culture at your organization.

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