Compliance, Culture and Evolving Regulatory Expectations

Compliance, Culture and Evolving Regulatory Expectations

Speech

Compliance, Culture and Evolving Regulatory Expectations

In this 2021 address to NYU Law School, Mark Steward, the FCA’s Executive Director of Enforcement and Market Oversight, explores the intersection of legal frameworks and human psychology in the pursuit of "effective compliance." He argues that while strong systems are necessary, they are ultimately prey to the "choices made by individuals."

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