Reviewing of the global compliance programs of a public financial services company.
Nardello & Co. conducted a review of the global compliance programs of a publicly traded global financial services company. The exercise included a complete evaluation of the program’s risk assessment processes, regulatory and enforcement relationships, corporate governance structure, code of conduct and strategic plans, training, testing, and auditing procedures, and other policies, such as those related to independent concern reporting, investigation, and documentation. The assessment and recommendations were reported to the client’s primary regulator, which received them favorably.