<p>In this episode, our team of former CCOs, Dan Haynes and Victoria Olson discuss why a code of ethics tool is not only beneficial to compliance but to employees and to stay on the SEC’s good side for upcoming exams.</p>

In this episode, our team of former CCOs, Dan Haynes and Victoria Olson discuss why a code of ethics tool is not only beneficial to compliance but to employees and to stay on the SEC’s good side for upcoming exams.

Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC

A CSS RegTech podcast series on moving from a tactical to strategic approach to regulatory compliance. The global regulatory space is complex and fragmented. Financial firms can address this problem through tactical responses to regulatory deadlines or think more strategically on how to optimize their compliance data, operations and technology. The Compliance Solutions Strategies weekly podcast features regulatory experts, former Chief Compliance Officers, cybersecurity specialists, industry partners and RegTech collaborators to help prepare investment management firms for changes on the regulatory horizon.

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Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC

Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC