Whistler Blog

read the blog

Insider Info from FIA L&C 2017

If you are a legal, compliance, or auditing professional, most likely you are familiar with the annual FIA Law and Compliance conference. If you attended the conference last week in Washington D.C, feel free to share any thing we missed in the comments below. If you didn't attend, here is our review from industry and thought leaders in compliance. 


Women Shouldn't Have to Act Like Dudes at Work

Why Do We Expect Women to Act Like Men in the Workplace?

By now, you’ve probably understood from us that diversity and equality is big business, and extremely important to your bottom line. Even more important is the treatment of women. While many companies make huge pushes to hire women in the workplace, the fact of the matter is that women are leaving some companies at a higher rate than males. But why?


Doctor Wins Sexual Harassment Lawsuit



The Importance of Diversity


Diversity, diversity, diversity. You haven’t heard enough about the topic, have you? This discussion of diversity is important, and for good reason: the topic not only affects human resources, but a company’s bottom line as well. Think about what diversity affects during a normal business day: not only a company’s internal operations, but interactions with their suppliers, customers, as well as those on company boards, and external stakeholders.


Carla Ingraham Wins $10 million in Sexual Harassment Lawsuit

For some employees in the workforce today, the workplace is one giant locker room. They feel that they are free to tell jokes that are in poor taste, perform or allude to inappropriate activities in the break room, the sales floor, and at company functions, and exude bias when it comes to hiring a diverse workforce. This leads to an environment where male employees from the executive level to an entry-level employee feel free to treat women or persons of color as second-class citizens.


"Intern"al Workplace Diversity


Diversity in the Workplace

Are companies who say they “hire for diversity” really doing enough?


Recently, on an African-American centric site, a millennial wrote about her experiences as an intern at a major downtown Chicago public relations firm. One of the first things that stood out was the fact that it was that her supervisor was a “young white woman from Alaska who had never worked closely with a black person before.”  She on the other hand, had never worked in corporate America.


Compliance Alert: Yahoo! Messanger

Yahoo! Messenger has long been the system of record for real-time communications in many commodities markets. While options like Slack and even Skype have come into the messaging space, oil, gas, gold and traders of other commodities are still fervent followers of Yahoo’s free messaging system, one of the chief reasons being its interoperability with other communications networks.Traders have always used the system as a way of “knowing where the market is”, according to some European traders. While the messaging system has been free, its contents are almost twenty years old.


Harassment in the Workplace

Harassment Lawsuit: Plaintiff Awarded $13 Million

Discrimination is a continually recurring problem for companies, but when a problem comes up, many of them decide the best course of action is to sweep it under the rug. However, if companies neglect complaints of harassment in the workplace from employees, it can prove to have some costly consequences.


Managing Regulatory Changes is Difficult

How Does Your Company Manage Regulation?

According to Walt Lukken, President and CEO of the Futures Industry Association, clarity on regulation was one of three key factors identified by FIA members in a recent membership survey impacting the growth of the futures industry as well as risk, and resiliency. While regulation can take a direct toll on your margins, organizations must take heed of regulatory practices in order to stay compliant. In fact, more companies are in the process of improving their global trade compliance practices to help mitigate organizational risk and drive value.


SEC's Efforts to Reduce Bias and Increase Diversity

Diversity in the Workplace: The SEC

When your organization is responsible for approximately 35,000 entities, including 12,600 investment advisors, 9,900 mutual funds and exchange traded funds, and over 4,500 broker-dealers with 160,000, effective oversight is key in protecting your investors, which include some of the biggest financial luminaries in the world. However, “how can you protect investors when you don’t have a diverse workforce?” says former US Securities and Exchange Commissioner Luis Aguilar.