In this two-day seminar from former Department of Justice Attorney Michael Johnson, you will learn about the hundreds of research studies scientists have conducted to best interview witnesses and assess credibility.
Compliance Week is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors.
Join Compliance Week for one year and receive access to every article, special report,
and video on our site in addition to unlimited live, instructor-led CLE/CPE
training sessions.
Donald Runkle, long-time chief compliance officer for independent broker-dealer Raymond James Financial Services, has stepped down after more than a decade with the firm.
According to his LinkedIn page, Runkle joined Raymond James in July 2003. The company has declined to offer any further details on his departure.
Until a replacement is found, Alyssa Meyer and Jason Thackeray, both directors of the firm, will serve as co-compliance chiefs.
Compliance Week accepts outside contributions from corporate chief compliance officers and other senior-level GRC practitioners. To learn more, contact Editor in Chief Kyle Brasseur.
A series of compliance failures have resulted in three Raymond James entities being fined $15 million by the SEC over improper charges of advisory fees and excess commissions.
No comments yet