Reviewing presentations

Why do organizations have policies that require internal review of presentations to outsiders?  What about review of internal presentations?

Merrill Lynch Fined Over Presentation,” Wall Street Journal, March 24, 2015 C2.  Failure to comply with company policy requiring compliance department pre-publication review of presentations leads to $2.5 million fine.  For an internal presentation by the brokerage division that did not disadvantage any clients.

That’s why we have policies and procedures, I guess.

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Filed under Business Case, Communications, Compliance, Compliance, Controls, Governance, Internal controls, Management, Oversight, Policy, Risk, Use

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