All Christopher Kelly articles
-
Article
FINRA enforcement head to depart, acting successor announced
The Financial Industry Regulatory Authority announced longtime Head of Enforcement Jessica Hopper will depart Feb. 3.
This course will help you learn the basic and necessary controls needed to ensure organizations identify, establish, assess, and maintain effective controls to help manage third-party arrangements through a well-defined risk assessment process.
Compliance Week National brings together compliance, ethics, legal, and audit professionals to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs.
Compliance Week is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors.
2023-01-25T14:58:00Z
The Financial Industry Regulatory Authority announced longtime Head of Enforcement Jessica Hopper will depart Feb. 3.