Practical insights for compliance and ethics professionals and commentary on the intersection of compliance and culture.

Compliance in Arrested Development

Check out the below clips from the cult classic television show Arrested Development.  Given that much of the show is devoted to dealing with the fallout from the family’s business operating fraudulently for many years, it should be no real surprise that there are many themes of compliance and ethics that recur throughout the show.


Round-up on developments in client due diligence in the financial services industry

Client due diligence and related processes in financial services – client acceptance, know your customer, anti-money laundering, sanctions monitoring – are central to modernizing and improving compliance programs. Current trends indicate that cultural differences, technological advances, and cooperation of enforcement authorities are all driving investigation and improvement.

In the ever-increasingly complicated global marketplace, client due diligence as a practice will continue to involve, taking into account local practices, changes in technology, and shifting regulatory priorities.