Robust policies, controls and procedures can either be enhanced or thwarted depending upon the compliance culture with a firm. In this session, we will be joined by Kate Burt, Head of Risk & Compliance at Legl, and Steve Brett, co-founder of E3 Compliance Training, to discuss the differences between a healthy and a toxic compliance culture and what firms can do to improve.
In this webinar, we explore:
- What is a “compliance culture” and why is it important?
- Regulatory expectations
- Characteristics of a healthy vs toxic culture
- What firms can do to improve compliance