- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2018-05-08T09:30:00
Recent analyses show that many companies don’t have adequate visibility into their third parties, and even less so their third parties’ third parties and beyond (so-called Nth parties).
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2025-01-15T16:24:00Z By Aaron Nicodemus
Twelve more firms have been dinged with fines by the Securities and Exchange Commission for failing to properly supervise employees who used off-channel communications to conduct company business. In this latest round of enforcement actions, nine investment advisers and three broker-dealers will pay a total of $63 million.
2025-01-10T20:14:00Z By Adrianne Appel
A cannabis company agreed to pay $225,000 to settle allegations that funds were temporarily deposited into its year-end accounts for the sole purpose of inflating year-end cash, the Securities and Exchange Commission said.
2025-01-09T15:18:00Z By Adrianne Appel
Experian, the credit reporting giant, let compliance slide when it came to addressing consumer complaints about incorrect data, the Consumer Financial Protection Bureau said in a lawsuit against the credit agency.
2025-01-08T21:45:00Z Provided by Ethena
This Compliance Week survey, sponsored by Ethena, seeks to learn more about compliance training at your firm, the challenges your organization faces tracking, rolling out and maintaining your training programs, and how customizable those training programs are.
2024-12-16T19:23:00Z By Adrianne Appel
The majority of businesses are using AI and doing so without governance–a compliance gap that poses extreme risks, a new survey by Compliance Week and GAN Integrity found. A webinar will discuss why it is crucial to have AI governance, how to implement it, and what strategies to strengthen programs. ...
2024-12-05T15:51:00Z By Aaron Nicodemus
Regulations are sure to be rolled back under President Donald Trump, but the question is which regulations, and how much? Is your organization as prepared to respond when regulations are loosened as it was when they were tightened?
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