- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Provided by 
MyComplianceOffice2018-08-21T11:45:00
Conduct risk poses an existential threat to companies across industries and jurisdictions because regulators, auditors and other oversight professionals are increasingly holding senior managers accountable for the actions of individuals associated with a firm.
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Two large data brokers, Mobilewalla and Gravy Analytics, collected billions of records containing sensitive geolocation and personal data of millions of people, and then sold it without their consent, the Federal Trade Commission said.
Elon Musk, the world’s wealthiest person and the apparent right-hand man of incoming U.S. president Donald Trump, has been taken to court for a third time by the Securities and Exchange Commission for allegedly violating securities law.
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.
The individual requirements for your security and risk operations are increasingly complex—and interconnected. Yet despite this increased interconnectivity, many organizations still manage their security operations (SecOps) and integrated risk management (IRM) functions in silos.
The message from the regulators is clear - having an off-channel policy for mobile communications is not good enough.
To help investors gain a better understanding of cyber risk, the US Securities and Exchange Commission (SEC) has created sweeping new rules—forcing companies to take a more proactive approach to cybersecurity.
