IDEAS home Printed from https://ideas.repec.org/p/fip/fednsp/156.html
   My bibliography  Save this paper

Compliance – some thoughts about reaching the next level

Author

Listed:
  • Thomas C. Baxter

Abstract

Remarks at the Fordham Journal of Corporate Counsel & Financial Law Symposium, Fordham Law School, New York City.

Suggested Citation

  • Thomas C. Baxter, 2015. "Compliance – some thoughts about reaching the next level," Speech 156, Federal Reserve Bank of New York.
    • Handle: RePEc:fip:fednsp:156
    as

    Download full text from publisher

    File URL: https://www.newyorkfed.org/newsevents/speeches/2015/bax020915.html
    File Function: Full text
    Download Restriction: no
    ---><---

    More about this item

    Keywords

    compliance officer; ethics; Program Effectiveness Index (PEI); culture; values; rules; regulation; law; chief ethics and compliance officer (CECO); legal risk; de-risking; repeatable processes; boards of directors;
    All these keywords.

    JEL classification:

    • G18 - Financial Economics - - General Financial Markets - - - Government Policy and Regulation
    • G28 - Financial Economics - - Financial Institutions and Services - - - Government Policy and Regulation
    • G38 - Financial Economics - - Corporate Finance and Governance - - - Government Policy and Regulation
    • K20 - Law and Economics - - Regulation and Business Law - - - General

    NEP fields

    This paper has been announced in the following NEP Reports:

    Statistics

    Access and download statistics

    Corrections

    All material on this site has been provided by the respective publishers and authors. You can help correct errors and omissions. When requesting a correction, please mention this item's handle: RePEc:fip:fednsp:156. See general information about how to correct material in RePEc.

    If you have authored this item and are not yet registered with RePEc, we encourage you to do it here. This allows to link your profile to this item. It also allows you to accept potential citations to this item that we are uncertain about.

    We have no bibliographic references for this item. You can help adding them by using this form .

    If you know of missing items citing this one, you can help us creating those links by adding the relevant references in the same way as above, for each refering item. If you are a registered author of this item, you may also want to check the "citations" tab in your RePEc Author Service profile, as there may be some citations waiting for confirmation.

    For technical questions regarding this item, or to correct its authors, title, abstract, bibliographic or download information, contact: Gabriella Bucciarelli (email available below). General contact details of provider: https://edirc.repec.org/data/frbnyus.html .

    Please note that corrections may take a couple of weeks to filter through the various RePEc services.

    IDEAS is a RePEc service. RePEc uses bibliographic data supplied by the respective publishers.