- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Like a house built with a solid frame, internal controls are at the core of ensuring effective compliance and risk management. Two recent developments have spurred companies to review that system of internal controls. The first is an update, published by COSO last year, to the framework most public companies ...
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The U.K. Financial Conduct Authority issued a fine of $4.5 million (3.5 million pounds) against a U.K.-based subsidiary of crypto platform Coinbase for providing services to high-risk customers in violation of FCA rules.
The Federal Reserve Board of Governors fined financial technology and bank holding company Green Dot $44 million for numerous unfair and deceptive practices and a deficient consumer compliance risk management program.
FTX Trading and the Commodity Futures Trading Commission have agreed on a $4 billion settlement in bankruptcy court to settle the CFTC’s lawsuit against the failed crypto trading platform.
