- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2016-03-14T12:30:00
Image: In the latest edition of the Compliance Week podcast, we discuss regulatory and compliance issues facing the financial services world with Todd Cipperman, founding principal of Cipperman Compliance Services. Among the topics we discuss are individual liability, third party compliance reviews, and the continuing buzz around “culture.”
2025-05-23T15:49:00Z By Ruth Prickett
Financial Planning Corporation is a regulated financial planning firm founded 40 years ago, gaining coveted Chartered status in 2008. As the U.K. financial regulator, the FCA promises to clamp down on unregulated “finfluencers” on social media. Moira O’Shaughnessy, managing partner and head of risk and compliance at FPC, explains why ...
2024-09-26T14:00:00Z Provided by Smarsh
In our coming webinar, experts will discuss the fundamental rethinking of how risk is understood and managed in the financial services industry and how firms can be proactive to stay ahead of these big technological changes.
2021-01-26T07:29:00Z Provided by CyberGRX
The financial services industry is a leading target for cyber criminals because there’s more than one way one way to profit from an attack.
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