- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
A new Department of Defense rule requires contractors to detect, deter, and mitigate insider threats. But how they should achieve that leaves plenty of gray areas, which does not sit well with contractors. Jaclyn Jaeger reports.
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A lack of supervision and internal controls at Morgan Stanley Smith Barney allowed four of its investment advisers to steal millions from customers before the behavior was detected, the SEC said in charging the firm.
Discover the vital role company culture plays in not only embracing new technologies and processes but also driving continuous improvement through a commitment to learning and a growth mindset.
The U.K. Financial Conduct Authority fined the London branch of Australian-based Macquarie Bank Limited more than 13 million pounds (U.S. $16.3 million) for “serious control failures” that allowed a trader to conceal hundreds of fictitious trades over a 20-month period.
