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By Fergus Allan, Head of Regulation & Compliance, Tori Global ,Philip Rosenauer, Legal FS Regulatory & Compliance Services, PwC,Jean-Baptiste Siproudhis, Group Head of Compliance, Directeur Conformité, Atos,Les Richardson, Senior Account Executive, Mitratech 2019-03-11T17:03:56.857+00:00
Compliance Week accepts outside contributions from corporate chief compliance officers and other senior-level GRC practitioners. To learn more, contact Editor in Chief Kyle Brasseur.
2023-09-28T17:45:00Z By Jeff Dale
Texas-based cybersecurity company Intrusion was charged with fraud by the Securities and Exchange Commission regarding alleged materially false and misleading statements made by its former chief executive.
2023-09-26T20:51:00Z By Compliance Week
Compliance Week’s fifth annual “Inside the Mind” survey seeks to discover what makes CCOs and other risk and compliance practitioners tick. Take 10 minutes to share your experiences and be part of our special report.
2023-09-22T18:24:00Z By Kyle Brasseur
Miami-based broker-dealer Citadel Securities was fined $7 million as part of a settlement with the Securities and Exchange Commission addressing mismarked short and long sales caused by a coding error in the firm’s automated trading system.
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