Trends & Guidance For Managing Hr Misconduct, Regulatory Compliance Risk

Published by Behavox

Every day, we see global financial firms in news headlines as they very publicly grapple with misconduct and compliance challenges. They’re being hit with significant fines and experiencing incalculable brand damage. The issues these scandals create impact and cascade across compliance, legal, HR, and executive teams.

Thankfully, in 2021, there has been a growing trend to positively address the convergence of financial and non-financial misconduct risk. In order to eliminate these ethical issues and create a true culture of compliance, there must be seamless collaboration across teams, so everyone adheres to common standards and values.

Watch the webcast to learn more about:

  • The latest regulatory measures intended to combat non-financial misconduct both in the U.S. and the U.K.
  • Why the appointment of Gary Gensler as SEC Chairman is likely to result in the regulator taking a tougher stance on enforcements
  • How firms can establish a culture of compliance and ethics by using tighter controls, cross-functional collaboration, and the latest technologies


  • Mike Piwowar: Former Acting SEC Commissioner & Executive Director of the Milken Institute Center for Financial Markets
  • Kalika Jayasekera, Partner, Global CCO, Board Director at SoftBank Investment Advisers
  • Neil Wu Becker, Chief Marketing Officer, Behavox

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Related Categories Employees, Workplace, Environment, Financial Technology, Risk Mitigation