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IIROC Compliance Conference Presentation

September 26, 2014
Nigel Cave
Presentation to IIROC Compliance Conference

Speech Summary:

Promoting a culture of compliance at all levels of an organization is a difficult job. Regardless of the industry, compliance involves costs to an organization. However, it is important to see compliance programs for the value that they may add to your business. Organizations with a culture of true compliance (and which recognize its proper role in the organization) tend to be businesses that are better run, and more successful in the long term. A culture of compliance begins and is founded upon two things: buy-in from leadership, and the belief that compliance has value. If it is regarded at the senior levels of a company as simply a paper-pushing exercise, then no one in the organization will respect it. Nor will they really bring the judgment required to identify what people really need to focus on in terms of compliance, and what they do not.

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