- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
OCEG, a non-profit global think tank that publishes the GRC Capability Model (Red Book) has announced the availability of version 3.0 of these standards for integrated governance, risk management, and compliance (GRC) capabilities. OCEG has also updated the GRC Professional Certification exam and GRC Fundamentals on-demand training and has made ...
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The Department of Justice’s Evaluation of Corporate Compliance Programs has made the importance of artificial intelligence governance frameworks clear, but it didn’t say what role compliance should play. Here’s the answer.
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.
A defamation lawsuit filed by a whistleblower against USAA, which a Florida judge recently dismissed on a technicality, revealed in public court records an estimated 400,000 violations of the Military Lending Act by USAA Federal Savings Bank (USAA Bank), an indirect wholly owned subsidiary of USAA.
