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Compliance – some thoughts about reaching the next level

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Abstract

Remarks at the Fordham Journal of Corporate Counsel & Financial Law Symposium, Fordham Law School, New York City.

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  • Baxter, Thomas C., 2015. "Compliance – some thoughts about reaching the next level," Speech 156, Federal Reserve Bank of New York.
  • Handle: RePEc:fip:fednsp:156
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    More about this item

    Keywords

    compliance officer; ethics; Program Effectiveness Index (PEI); culture; values; rules; regulation; law; chief ethics and compliance officer (CECO); legal risk; de-risking; repeatable processes; boards of directors;

    JEL classification:

    • G18 - Financial Economics - - General Financial Markets - - - Government Policy and Regulation
    • G28 - Financial Economics - - Financial Institutions and Services - - - Government Policy and Regulation
    • G38 - Financial Economics - - Corporate Finance and Governance - - - Government Policy and Regulation
    • K20 - Law and Economics - - Regulation and Business Law - - - General

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