[Watch] Trends and Guidance for Managing HR Misconduct & Regulatory Compliance Risk

Watch our latest webinar with two regulatory and compliance leaders on the convergence of financial and non-financial misconduct and what that means for firms as they look to instill a culture of compliance and ethics.

The recently published Behavox Enterprise Conduct and Risk Report found alarming levels of workplace misconduct amongst corporate professionals in the U.S., U.K., and Canada. 

What’s more, it found that HR teams are doing little to rectify the problem with as many as 50% of respondents reporting that they are hesitant to take action due to the potential litigation that may ensue.

With financial regulators such as the U.S. Securities and Exchange Commission (SEC) and the U.K.’s Financial Conduct Authority (FCA) taking a stronger stance on non-financial misconduct, how can firms adapt to ensure they have the internal controls in place to create a healthier workplace culture that helps to mitigate this kind of risk?

Neil Wu Becker, Chief Marketing Officer at Behavox, discussed these topics and more with Kalika Jayasekera, Partner, Global Chief Compliance Officer, Board Director SoftBank Investment Advisers and Mike Piwowar, Former Acting SEC Commissioner & Executive Director Milken Institute Center for Financial Markets.

The webinar covered a variety of topics, including: 

• The latest regulatory measures intended to combat non-financial misconduct both in the U.S. and the U.K.

• Why the appointment of Gary Gensler as SEC Chairman is likely to result in the regulator taking a tougher stance on enforcements

• What firms can do to establish a culture of compliance and ethics by using tighter controls, cross-functional collaboration, and the latest technologies  

For further insights into workplace misconduct download the Behavox Enterprise Conduct and Risk Report