- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Aarti Maharaj2015-09-15T11:30:00
Image: “Conduct risk” is a phrase uttered by many regulators these days and a menace compliance officers in banking circles worry about more and more. Still, putting a precise definition on it isn’t easy. “Conduct risk frequently demands that a firm address the widest range of policies, processes … and ...
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2025-04-29T15:25:00Z By Ian Sherr
Too often, compliance professionals do their jobs only to receive a pink slip at the end. Panelists at Compliance Week’s 20th Anniversary National Conference in Washington, D.C. this week said compliance professionals need regular access and reporting lines to CEOs and boards of directors, and to feel free to speak ...
2025-04-29T15:00:00Z By Ian Sherr
More than half of the people who sit on corporate boards have a background in finance, with far fewer from compliance. But change may be coming. Panelists in a session of Compliance Week’s 20th National Conference in Washington, D.C., discussed the way boards of directors are changing in response to ...
2025-04-28T21:38:00Z By Aaron Nicodemus
Whistleblowing in the United States is being buffered by uncertainty from regulators who are backing off policing corruption and consumer protections. Regulators like the Department of Justice and the Securities and Exchange Commission are being thrown into disarray by layoffs and restructuring. Still, whistleblowers will likely continue coming forward.
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