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The Importance of Compliance, Operational, and Risk Controls – Not Just to Satisfy the Regulators, but to Satisfy Operational Due Diligence

Over the last decade, and in particularly as the number of corporate frauds have increased, investors and shareholders have increased the level of operational due diligence on a firm prior to investing. In this session, the speakers will discuss some key areas of concern for regulators and operational due diligence people and some of the reasons why. Themes discussed include Compliance, Operations, Cyber Security, Succession Planning, Data Privacy, and Business Continuity Planning - with some real world examples of steps being taken by corporations to improve their overall compliance and risk health.

Session Video