- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Capital Markets firms can now benefit from a new continuous compliance service for algorithm risk management, thanks to a partnership from new-generation GRC solution provider OXIAL, and financial markets specialist GreySpark.
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Waves of fallout from the collapse of cryptocurrency trading platform FTX continue to ripple, as accounting firm Prager Metis has learned.
First Horizon Advisors will pay a $325,000 fine to settle allegations from the Securities and Exchange Commission that it violated Regulation Best Interest in part due to issues with incorporating a merged firms’ accounts into its systems.
Federal banking regulators approved a new rule for bank mergers that will require additional scrutiny of mergers for antitrust issues for large and mid-sized banks.
