James Ewing


Articles:

  • Monday, May 4, 2009
    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 that can create significant challenges to developing an...
  • Sunday, June 1, 2008
    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 the areas of strategy and appropriate organizational design.
  • Sunday, April 1, 2007
    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.
  • Sunday, October 1, 2006
    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 to gain a clear understanding of what they can and cannot...
  • Friday, September 1, 2006
    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, in order to successfully implement this or any other...
  • Friday, September 1, 2006
    In a 2006 survey conducted by The Metropolitan Corporate Counsel, its corporate counsel readers ranked compliance second among many subjects that are relevant to their work. Compliance training programs and compliance systems ranked second in importance among the many services, tools and technologies they used. And, the need for corporate counsel to have...
  • Friday, July 1, 2005
    Editor: Would you tell our readers something about your professional experience?