SpongeUK - Compliance Training at Tesco

By David Ward, Regulatory, Ethics and Compliance Director, Tesco, Kate Pasterfield, Creative Director, SpongeUK 2019-01-15T14:24:31.26+00:00

Topics

Article
Compliance called out in Liberty Tax DOJ settlement
2019-12-04T20:58:00Z
The Department of Justice is requiring Liberty Tax Service to greatly enhance its internal compliance controls as part of a proposed settlement with the tax preparation service provider over allegations of fraud and misconduct.
Article
BGC Financial to pay $3M for supervisory failures
2019-11-25T21:41:00Z
BGC Financial was accused of various supervision, reporting, and recordkeeping violations that went on for more than five years in a $3 million enforcement action from the CFTC.
Webcast
Webcast: Improving efficiency with intelligent compliance
2019-11-21T14:54:00ZProvided by Proofpoint
Learn about the skill sets needed for compliance roles to succeed in the future, why security is becoming more important to compliance and supervision infrastructure, and compliance technology developments.