Control frameworks need top-down approach

Victoria Tozer-Pennington
21 Apr 2011

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Compliance departments are once again calling the shots in financial institutions, as more stringent regulations are being implemented by regulators in countries affected by the global financial crisis. The 2,000-page Dodd-Frank Act is driving a renewed emphasis at US financial institutions on the importance of compliance and the need for a strong control framework.

The post-crisis regulatory atmosphere is reminiscent of that after Enron’s collapse in 2001, which led to the creation of the

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