- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2017-02-08T16:30:00
The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert that details the most prevalent compliance miscues identified in its examinations of investment advisers
2025-06-26T15:37:00Z By Aaron Nicodemus
Bank examiners at the Federal Reserve Board will no longer assess reputational risk during examinations, a concession to the banking industry already underway with two other U.S. regulators.
2025-06-04T20:56:00Z By Ian Sherr
Compliance is increasingly in the spotlight as companies are tackling everything from artificial intelligence and other new technologies to risk management and mitigation. But it’s soft skills of communication and relationship building that are becoming the most critical tools for success.
2024-06-06T19:22:00Z By Aaron Nicodemus
A risk alert from the Securities and Exchange Commission listed top reasons why a registered broker-dealer might be the subject of an examination.
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