Tag: Michael Rasmussen

The intricate connection between corporate culture and compliance holds significant value in today's businesses. Every decision made by employees can potentially impact compliance.

In the past few months, both the SEC and CFTC have targeted numerous Wall Street firms for extensive recordkeeping oversights. This resulted in eye-watering penalties surpassing $1.5bn. Both major and minor firms should anticipate that this assertive enforcement will remain unrelenting.