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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2018-06-13T15:15:00
We recently spoke to Ricardo Garcia-Moreno, a partner with Haynes & Boone, about the opportunities, challenges, and compliance concerns that come with cross-border deals.
THIS IS MEMBERS-ONLY CONTENT. To continue reading, choose one of the options below.
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.
2024-11-06T17:05:00Z Provided by ServiceNow
The individual requirements for your security and risk operations are increasingly complex—and interconnected.
2024-11-05T14:00:00Z Provided by Wolters Kluwer
Attend this Compliance Week webinar to synthesize the current ”state-of-play” for current and proposed rules for the ethical and responsible use of AI in financial services settings.
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