SEC data breach reveals fear and loathing in the mainframe
A breach disclosure by the SEC does the agency no favors as it prepares to dig deep into data troves for market surveillance.
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Exasperated Clayton briefs Senators on SEC breach
SEC Chairman Jay Clayton provided fresh insight into the Commission's recently annunced 2016 data breach during scheduled testimony before the Senate Banking Committee.
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News BriefCommunication and relationships is increasingly critical for compliance teams
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.
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PremiumUnder intense reg scrutiny, compliance teams report implementing off-channel comms policies
Three of four respondents to Compliance Week’s Inside the Mind of the CCO survey said their employers have policies and procedures in place that govern employee use of unauthorized communications on their cell phones. The survey, conducted in November and December, found that another 11 percent of the 179 practitioners ...