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
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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2013-12-12T10:36:00
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.
2015-08-25T12:45:00Z By Joe Mont
Image: As the financial sector embraces the speed and efficiency of instant messaging services, compliance officers have a new challenge: how to detect misconduct in real time, not in e-discovery after the fact. Vendors are rushing in with new products; the bad news is that regulators are looking into “chat ...
2014-03-18T00:00:00Z By Karen Kroll
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.
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