US Content Manager Julie DiMauro spoke to Courtney Reid, CCO at MassMutual’s retail broker-dealer, about her outlook on the compliance role.

We spoke about Mitch’s work in an FCA approved Skilled Person Review panel firm, client experience, best practice and the Consumer Duty.

In this GRIP podcast, Commissioner Peirce spoke about rulemaking via enforcement and what she sees ahead for the US securities watchdog in the next calendar year.

We spoke about how a lawyer’s professional responsibilities must inform their AI interactions and what she is teaching her law school students about using it within the framework of ethics and compliance.

We spoke about forced labor in the supply chain as a compliance issue that boards and management must be focused on today.

We spoke about: CrowdStrike outage, Ashley Madison data breach, prevalence of cyberattacks, government oversight and regulation.

We spoke about how these certifications and audits are just points in time – but they can add greater confidence regarding corporate data security controls.

We spoke about sustainability and climate reporting in US, UK and EU; the divisive nature of ESG; and the regulatory compliance burden on firms.