- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Third-party risk has always been a pain point for compliance officers, but external factors like globalization and escalating cyber-risks are continuously changing the way compliance officers have to think about how to manage third-party risk. In this e-Book, produced by Compliance Week in cooperation with RSA, we try to cut ...
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Twelve more firms have been dinged with fines by the Securities and Exchange Commission for failing to properly supervise employees who used off-channel communications to conduct company business. In this latest round of enforcement actions, nine investment advisers and three broker-dealers will pay a total of $63 million.
Experian, the credit reporting giant, let compliance slide when it came to addressing consumer complaints about incorrect data, the Consumer Financial Protection Bureau said in a lawsuit against the credit agency.
Portuguese bank Novo Banco, S.A., fired Chief Risk Officer Carlos Jorge Ferreira Brandão “with just cause” after an internal probe discovered “suspicious financial transactions” in his sphere.
