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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Helene Millenaar, Director, Global Head of Investigations and Competition Law, Nouryon,Gustavo L. Morales Oliver, Partner, Marval, O'Farrell & Mairal,Sarah Putt, Civitas Capital,Karen Moore, Compliance and Ethics Officer 2019-03-11T17:03:56.857
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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
2024-07-17T15:39:00Z By Aaron Nicodemus
FTX Trading and the Commodity Futures Trading Commission have agreed on a $4 billion settlement in bankruptcy court to settle the CFTC’s lawsuit against the failed crypto trading platform.
2024-07-11T19:04:00Z By Aaron Nicodemus
UBS Financial Services, a subsidiary of the Swiss banking giant UBS, has been fined $850,000 for failing to properly monitor transactions between its broker-dealers and third parties.
2024-07-11T15:13:00Z By Aaron Nicodemus
Citigroup will pay $135.6 million in fines levied by two banking regulators for repeated failures to remediate deficiencies in risk management, data governance, and internal controls.
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