All compliance officers articles

  • Article

    Geopulse Exploration tabs compliance officer

    2020-01-07T18:42:00Z

    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 post

    Survey: Financial firms looking for communications risks all wrong

    2018-10-24T10:15:00Z

    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 post

    CFTC simplifies its regulations governing compliance officers

    2018-08-23T15:45:00Z

    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 post

    Is Social Media Considered ‘Real Monitoring’?

    2015-11-19T11:15:00Z

    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. ...