P2P Lending: Risks and Business Models
Peer-to-Peer (P2P) lending is a relatively recent financial innovation that has taken the lending market by storm and fueled financial ...
Tag: conduct risk
A Copernican Revolution in Culture and Conduct Risk Management
The Necessity of Proactive Management Experts at applied behavioral science technology company Starling offer insights into the failures of current ...
Financial Forecast: Cloudy with a Good Chance of Behavioral Insight
A Cloud-First Approach to Managing Financial Communications Data The current regulatory framework, which has grown more complex since the 2008 ...
6 Steps to Minimize Conduct Risk
A Framework for Assessing Regulatory Maturity In the current regulatory environment, banks find it complex and challenging to interpret and ...
5 Ways to Elevate the Board’s Oversight of Compliance
Expanding the View to Include Culture Does your organization view compliance as a “check the box” exercise? Many companies do. ...
Winning at All Costs
If you know a colleague is taking questionable shortcuts in an attempt to deliver strong performance, and you say nothing, ...
The High Cost of Failing to Qualify as a Foreign Corporation
Doing business out of state or planning to expand your operations? If so, it is important to determine the need ...
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- Iconix Brand Group, Inc., Neil R. Cole and Seth Horowitz December 5, 2019SEC Charges Iconix Brand Group and Former Top Executives with Accounting Fraud
- Lester Burroughs December 5, 2019SEC Charges Connecticut Man with Defrauding Retail Investors
- SBB Research Group LLC, et al. December 4, 2019SEC Charges Hedge Fund Adviser and Top Executives with Fraud
