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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
An inside look at the SEC Office of the Whistleblower
Jaclyn Jaeger talks with Sean McKessy, who served as first-ever chief of the SEC’s Office of the Whistleblower, about the Whistleblower Program, his time at the SEC, and how companies could improve their whistleblower programs.
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SEC enforcement trends to watch in 2017
Jaclyn Jaeger recaps a record-breaking year for SEC enforcement activity, and what to expect in the year ahead.
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OpinionFive reasons why I’m excited about CW’s Cyber Risk & Data Privacy Summit
Having worked for Compliance Week for three years, I’ve found it remarkable how compliance professionals can be so consistently upbeat about their plight. An often refrain in compliance circles is “be comfortable with being uncomfortable.” As difficult as the job can be, that clearly doesn’t mean it can’t be fun.
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News BriefSEC fines LPL Financial $18M for failed due diligence on new, high-risk accounts
Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its anti-money laundering program did not properly vet customers and failed to close or restrict thousands of high-risk accounts.