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Basic PageEthics education is key, says Tom Hardin AKA “Tipper X”
Tom Hardin AKA “Tipper X” went from a young trader with his whole career ahead of him to an inside trader who got caught, acted as a Federal Bureau of Investigation informant for two years, and pleaded guilty to a felony.
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Basic PageSEC postpones compliance date for amendments to investment company names rule
Investment companies will have six additional months to comply with an update to the Securities and Exchange Commission rule aimed at making investment fund names more accurate.
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Basic PageAI Governance Benchmarking Survey
This is a Compliance Week Survey, sponsored by GAN Integrity. It is completely anonymous and designed to help benchmark the approaches compliance is taking to AI Governance. Results will be shared by Compliance Week and GAN Integrity in the form of a benchmark report.
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Compliance Week is the premiere governance, risk, and compliance service for corporate professionals. We provide daily news and analysis, custom-designed special reports, proprietary databases, industry-leading events, and a variety of interactive features and forums. Compliance Week is owned by Verdian Insights and located in Boston, Mass. Mission To be the ...