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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2018-08-23T15:45:00
The Commodity Futures Trading Commission on Aug. 21 unanimously approved final amendments clarifying and simplifying its regulations governing chief compliance officer duties and annual compliance reporting requirements for futures commission merchants, swap dealers, and major swap participants.
THIS IS MEMBERS-ONLY CONTENT. To continue reading, choose one of the options below.
News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2024-11-07T19:03:00Z By Adrianne Appel
Artificial intelligence-enabled product review platform Sitejabber agreed to a 10-year compliance monitorship with the Federal Trade Commission following allegations that it inflated product ratings and misled the public.
2024-11-06T21:36:00Z By Jeff Dale
The Financial Industry Regulatory Authority fined broker-dealer Morgan Stanley $1 million over alleged documentation failures related to risk management controls and supervisory procedures involving violations of the Market Access Rule.
2024-11-06T20:14:00Z By Adrianne Appel
A Texas health care organization agreed to pay $14.2 million to settle allegations it filed false claims related to violations of the “Stark” self-referral law, according to the Department of Justice.
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