All compliance officers articles

  • Nicodemus_opinion

    ‘FinCEN Files’ report casts compliance officers in unfair light


    The BuzzFeed “FinCEN Files” investigation purportedly uncovered evidence of a catastrophic, international collapse of internal controls within the world banking system. But that argument is misleading, to the point of being disingenuous.

  • Article

    Geopulse Exploration tabs compliance officer


    Geopulse Explorations, a blockchain-powered logistics, financial services, and promotion platform for the cannabis sector, announced the appointment of Harrison Kordestani as compliance officer.

  • Blog

    Survey: Financial firms looking for communications risks all wrong


    A new survey finds that compliance professionals in the financial services industry are not keeping pace with their retention and supervision efforts, particularly as a growing, younger workforce relies on expanding, mobile-friendly channels, such as social media and text messaging.

  • Blog

    CFTC simplifies its regulations governing compliance officers


    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.

  • Blog

    Is Social Media Considered ‘Real Monitoring’?


    A recent survey by Compliance Solutions at Charles Schwab found that compliance officers spend 11 hours per week monitoring their employees’ personal brokerage accounts, while half are closely monitoring social media platforms. One of the main challenges that compliance officers face is chasing data, which are “owned” by other departments. ...