- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2015-11-15T19:00:00
A survey conducted by Thomson Reuters finds that most risk and compliance professionals at financial services companies around the world expect their personal liability to increase. The report also found that an apparent lack of oversight or awareness from senior managers exacerbates the regulatory focus on accountability. More survey results ...
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2016-09-27T22:45:00Z By Jaclyn Jaeger
Jaclyn Jaeger looks at yet another case brought by the SEC spotlighting the sort of conduct that can result in a personal liability claim against legal and compliance officers.
2016-06-07T12:00:00Z By Jaclyn Jaeger
Yes, yes—companies everywhere know that having in place an effective compliance program is more important today than ever before, but how are compliance officers actually achieving that? Jaclyn Jaeger recaps this discussion from Compliance Week 2016.
2016-06-01T10:45:00Z By Jaclyn Jaeger
During a keynote panel at Compliance Week 2016, enforcement officials from the Securities and Exchange Commission and the Department of Justice spoke candidly about compliance program effectiveness, personal liability, and more. Jaclyn Jaeger reports.
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