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.

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About the Authors

Jonny Frank

Jonny Frank

Jonny Frank, a Partner with StoneTurn, brings more than 40 years of public, private and education sector experience in forensic investigations, compliance and risk management. He joined StoneTurn in 2011 […]

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Laura Greenman

Laura Greenman, a Managing Director with StoneTurn, has experience in financial and regulatory reporting, auditing, and compliance and monitoring. Laura’s experience includes implementing and testing the internal control framework and […]

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