By Peter Jaffe, Chief Ethics and Compliance Officer, AES Corp. 2019-01-15T14:24:31.253+00:00
WolfPAC Integrated Risk Management and Maple Street announced a partnership designed to provide clients an enhanced, full-service vendor management system.
2019-09-10T18:44:00ZProvided by ComplySci
Understanding the regulatory environment, both past and current, can help shape your compliance strategies. ComplySci’s CCO Playbook will ensure you keep up with regulatory changes and provide you with a game plan to meet many of the top challenges CCOs face today.
Options Clearing Corp. will pay a combined $20 million in penalties to the SEC and CFTC to settle charges that it failed to implement certain risk management policies as required by U.S. laws and regulator rules.