『Sanctions Compliance Failures: Lessons from Harman International and Interactive Brokers』のカバーアート

Sanctions Compliance Failures: Lessons from Harman International and Interactive Brokers

Sanctions Compliance Failures: Lessons from Harman International and Interactive Brokers

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 The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode of Compliance into the Weeds, Tom Fox and Matt Kelly discuss a couple of recent sanctions OFAC enforcement involving Harman International and Interactive Brokers and the lessons they provide for the compliance professional. Tom and Matt dive into the facts of both cases; finding under-resourced sanctions compliance programs in both companies, highlighting key issues such as inadequate personnel, misconfigured compliance tools, and failure to conduct proper risk assessments. Despite self-disclosure and cooperation, both companies faced significant fines and were required to implement extensive remediation measures. The discussion emphasizes the increasing importance of robust sanctions compliance programs in mitigating risks and avoiding enforcement actions. Key Highlights · Sanctions Enforcement Cases Overview · Harman International's Compliance Failures · Interactive Brokers' Compliance Issues · Lessons and Final Thoughts Resources Matt Kelly in Radical Compliance Tom Instagram Facebook YouTube Twitter LinkedIn A multi-award winning podcast, Compliance into the Weeds was most recently honored as one of a Top 25 Regulatory Compliance Podcast and a Top 10 Business Law Podcast, and a Top 12 Risk Management Podcast. Compliance into the Weeds has been conferred a Davey, Communicator and w3 Awards for podcast excellence. Learn more about your ad choices. Visit megaphone.fm/adchoices

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