- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
ComplianceBridge announced the release of its new TotalCompliance Compliance Risk, Audits, and Assessments Management solution. Designed by compliance officers, TotalCompliance automates the compliance risk assessment and management process, allowing you to create and manage a broad range of question sets; distribute them to organizations or appropriate individuals; and collect and ...
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First Horizon Advisors will pay a $325,000 fine to settle allegations from the Securities and Exchange Commission that it violated Regulation Best Interest in part due to issues with incorporating a merged firms’ accounts into its systems.
Federal banking regulators approved a new rule for bank mergers that will require additional scrutiny of mergers for antitrust issues for large and mid-sized banks.
Walgreens agreed to pay nearly $107 million to resolve allegations, first brought by two whisteblowers, that it improperly billed federal healthcare programs for prescriptions that were never picked up or delivered.
