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Podcast: Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence
Episode: Season 3, Episode 4: Preparing for increased personal liability
Description: In the fourth episode of season 3 of the Compliance Clarified podcast Susannah Hammond is joined by Rachel Wolcott and Todd Ehret to take a look at the developing issues and what good is beginning to look like for the evolving management of personal accountability. Not only are accountability regimes proliferating around the world but also firms and their compliance officers need to also consider an increasingly wide range of non-financial misconduct when assessing whether or not individuals are, and remain, fit and proper. And individuals need to be considered ‘fit and proper’ in order to be a licensed or registered empl...