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This Week in Penalties...12 July -16 July

Friday 16 July 2021

 







The Australian Securities and Investments Commission (ASIC) has concluded its investigations into it what it says is suspected criminal conduct by AMP in regard to ‘fees-for-no -service’.

“ASIC has been conducting investigations into fees for no service conduct by entities within the AMP Limited group, including the BOLR Policy co...

By Kwame Slusher

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Podcast: Improving the Lines

Friday 16 July 2021



From the Archives:

With GRC2021 Conference around the corner it is time it time to reconsider the three lines.  

In this edition of the GRC Professional Podcast, Managing Director, Naomi Burley looks at the the Institute of Internal Auditors' push for more influence on ...

By Kwame Slusher

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Recommended Reading: The Compliance Entrepreneur's Handbook

Friday 16 July 2021





Recommended Reading is Back!
 
Here is an excerpt of what we’re reading at the GRC Institute.
 
 
“As I grew in the profession and attended conferences, I saw that many compliance officers struggled with influence and persuasion in the companies where they worked. I believed I had something unique to say within the compliance profession,...

By Kwame Slusher

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Legislative Amendments

Friday 16 July 2021


 

Ending grandfathered conflicted remuneration-Click Here
 


Financial Services Royal Commission – Compensation Scheme of Last Resort-Click Here

By Kwame Slusher

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Podcast: IFCA 2020 Wrap-Up

Friday 9 July 2021


The annual conference for the International Federation of Compliamce Association (IFCA) is just around the corner--The  4 October to  8 October. 

In the mean time listen to the wrap-up of last year's IFCA Conference!




By Kwame Slusher

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Podcast: GRCI Conference 2020

Friday 9 July 2021





Hope you saved the date for the GRC 2021 Conference!

In the mean time listen to wrap-up of the GRC 2020 Conference!





By Kwame Slusher

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Podcast: RegTech Boom in Hong Kong

Wednesday 7 July 2021




Dr Angus Young from Hong Kong Baptist University talks about the Regtech boom in Hong Kong.


Relevent Links: 



Relevent Podcast: 


...

By Kwame Slusher

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Podcast: Career Pathways & Competencies

Wednesday 7 July 2021




Updates on GRC Institute course offerings and career pathways for GRC professionals.



Relevent Podcasts 


By Kwame Slusher

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Podcast: Practical Approaches to Modern Slavery Risk

Friday 2 July 2021





Financial Crime Risk Consultant & GRC Institute Director Julian Hunn considers some practical approaches and challenges to mitigating modern slavery risk in the supply chain.

  • Be Practical and Sensible. Do noy try to do too much too quickly, but be realistic and hones...

By Kwame Slusher

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