Different skill sets are needed at different times in the development of a company.Small business owners often struggle with accepting that early hires may no longer have the necessary skills and need to be transitioned into new roles or moved out the door.Having clearly defined roles and tasks ...
Westpark Capital’s Chief Compliance Officer was William Morgan. “Among other things, Morgan was responsible for maintaining and updating the Firm’s written supervisory procedures, supervising the branch office managers, performing background investigations and participating in hiring decisions, and determi...
FL Felix Leon CISO (Chief Information Security Officer) Value of Centralized Services Previously we had to use several training platforms. Now we can do it from just one. Before we had to make manual reports, which was a problem because sometimes they were not exact and lent itself to errors...
Officer, director, and management openness to appropriate challenges, disagreement, and criticism, and the manner and processes for learning about, addressing, evaluating and debating, decision making, and resolving those ongoing occurrences and situations; and Board and director structure, agenda setting,...
But before that, I do want you to tell us a little bit about yourself other than having these important roles at Clio before we launch into the technical stuff. You were a lawyer, you started working for Clio and just give us a little bit of your background. Joshua Lenon: Yeah, ...
My notes, live, from Self-Assessments: Criteria and Procedures for Evaluating GRC Programs, with Gracie Fisher Renbarger, Chief Ethics and Compliance Officer of Dell; Nan Stout, Vice President Business Ethics of Staples; and Carole Stern Switzer, President of OCEG. Carole started off with two ...
There is a need for transparent and independent regulators as seen in the NSW NRAR that allows clearly definable roles that can be audited and the rapid adoption of new technology or compliance policy. The reliability and comprehensive work of regulators is pivotal to the enforcement of natural ...