James Ewing

Duff & Phelps, LLC

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Recently by James Ewing

Developing Effective Regional Compliance Programs At Multinational Organizations

Financial institutions and heavily regulated industries have undergone increased regulatory activity in recent years that has led to substantial changes in their compliance functions. Diversified products, complex regulations, multiple regulators and profit driven incentives are a few elements...

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The High Price Of Non-Compliance

Editor: Could you both provide our readers with your respective functional responsibilities at Duff & Phelps? Ewing: I am in the Dispute and Legal Management Consulting group, focusing on providing advice and consulting services to general counsel and chief compliance officers, primarily in...

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Three Techniques To Improve The Effectiveness Of Global Compliance Program

In the past few years, the importance of the compliance organization within corporations has grown significantly given the increased scrutiny companies have faced from regulators and the public. In past articles in our compliance series, we addressed the people, process and technology necessary to...

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A Roundtable Discussion On Compliance Policy Development, Education And Communication

Moderator: What are the key points you incorporate when developing compliance policy? How are new policies launched within your organization? Bettman: With any company policy, and especially for compliance policies, our number one objective is clarity. We want our employees to read the policy and...

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Compliance Functions - Leadership, People, Process & Technology

In the July 2005 issue of The Metropolitan Corporate Counsel, we described a compliance framework that a number of companies have successfully implemented. The framework defines a systematic, end-to-end approach to compliance, and can be adopted by any company irrespective of industry. Of course,...

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