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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Bruce Carton2015-08-16T11:45:00
A report from the SEC’s inspector general says he is looking into allegations of bias among administrative law judges in the SEC’s administrative proceedings, but has found no evidence so far to support those accusations. More inside.
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2024-11-06T21:36:00Z By Jeff Dale
The Financial Industry Regulatory Authority fined broker-dealer Morgan Stanley $1 million over alleged documentation failures related to risk management controls and supervisory procedures involving violations of the Market Access Rule.
2024-11-06T20:14:00Z By Adrianne Appel
A Texas health care organization agreed to pay $14.2 million to settle allegations it filed false claims related to violations of the “Stark” self-referral law, according to the Department of Justice.
2024-11-05T16:52:00Z By Aaron Nicodemus
Law enforcement officials stumbled on TD Bank’s role in money laundering while investigating a Mexican drug cartel. They found that the bank’s corporate culture considered compliance, particularly BSA/AML compliance, a low priority. As they dug deeper, authorities discovered that multiple money laundering schemes had infiltrated the bank’s network.
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