- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The Hartford has appointed Charlene Ridgeway as chief ethics and compliance officer. She takes over the role from Colleen Pernerewski, who was appointed deputy general counsel and head of business law.
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Financial services firm Cantor Fitzgerald will pay a $6.75 million fine to the Securities and Exchange Commission for making misleading statements regarding two special purpose acquisition companies that it controlled.
When the DOJ released its revised Evaluation of Corporate Compliance Programs, it turned some heads. Tucked into a section on risk assessments was a strongly worded series of questions that appeared to shoulder compliance teams with the responsibility for ensuring the safe use of AI tools by their firms.
London has long had the dubious reputation of being the world’s money laundering capital and it looks like it’s a title it is likely to retain for some time yet.
