With the COVID-19 health crisis evolving into an economic crisis, financial institutions must revisit the risk and control environment to adapt ethics and compliance programs to mitigate heightened conduct risks.
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Simultaneous to the COVID-19 health and economic crisis, prosecutors and regulators are upping the ante on expectations of ethics and compliance programs.
In Vol. 13, Issue No. 4 of the Journal of Risk Management in Financial Institutions, Jonny Frank and Laura Greenman share practical steps that financial institutions can take to mitigate risks arising from COVID-19 while also meeting DOJ guidance, the SEC Resource Guide and local regulatory expectations.
Jonny Frank brings over 40 years of public and private sector and law and business school teaching experience in forensic investigations, compliance, and risk management. He helps organizations and counsel […]
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Laura Greenman, a Managing Director with StoneTurn, brings over ten years of public and forensic accounting, in-house and consulting financial services experience. Laura specializes in implementing and testing the internal […]
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