Please note that this workspace will be used to gather the At-Large's questions for the Compliance Department during the Toronto Meeting.
The deadline for comments is 19-September-2012 at 23:59 UTC.
Please note that the call for comments below has been extended until 28-September-2012 23:59 UTC.
4 Comments
Holly Raiche
First, we should look to Garth for the questions he wants to ask, including his further experience with the Compliance area
Other suggestions include:
Eduardo Diaz
Now that you report directly to the CEO, do you believe that the roll of Compliance will be even more effective than in the past? If Yes, in which way? if No, why?
Evan Leibovitch
Holly Raiche
I have more questions:
Acknowledging that there has been a change in the compliance reporting structure, have there been other changes in the decision making process and the decision makers? (i.e., is there any change to who is actually making the compliance decisions) - and could we see charts both for compliance staffing (who does what) and for the process of making decisions.
Next, who has the final say when it comes to what could be complex issues involving the interpretation of the RAA - is legal still involved?