Hallmarks of an Effective Compliance Program- as articulated by Assistant Attorney General Leslie Caldwell
On November 2, 2015, Leslie Caldwell spoke before the SIFMA Compliance and Legal Society in New York and discussed the hiring of a Compliance Expert (Hui Chen) to assist DOJ in evaluating compliance programs. Ms. Caldwell also took the time to outline the metrics that the new Compliance Counsel will use to assess a compliance …