By
Dave Lefort2019-09-26T10:53:00
We’re celebrating “Compliance Officer Day” by releasing our first annual “Inside the Mind of the CCO” special report, which is aimed at, among other things, figuring out what motivates and challenges today’s chief compliance officers.
2025-11-07T22:18:00Z By Adrianne Appel
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
2025-11-06T19:06:00Z By Jaclyn Jaeger
Compliance Week recently interviewed Charles Duross, former Chief of the DOJ’s Fraud Section’s FCPA Unit, to talk about the Department of Justice’s recently revised monitorship policy.
2025-11-06T19:01:00Z By Adrianne Appel
Four U.S. citizens were arrested in California Wednesday in connection with a massive, $346 million international credit card fraud scheme based in Germany, in which compliance officers were allegedly complicit, according to the DOJ.
2025-11-07T19:21:00Z By C.S. Thomas, CW guest columnist
Most organizations would say they value stability. Predictable operations, consistent output, and well-defined processes are generally considered marks of maturity. The assumption is simple: if a system can be made reliable, it becomes resilient.
2025-11-03T17:28:00Z By Kayla Underkoffler, CW guest columnist
The current AI policy and regulation landscape is still emerging globally. While some regulations and standards exist, governments, industry, and security leaders have critical gaps to close, especially around agentic artificial intelligence.
2025-10-29T20:12:00Z By Tom Fox
As CFOs use AI to streamline operations, they face new compliance risks tied to accountability and algorithmic governance. CCOs must work with them to ensure transparency and oversight throughout adoption.
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