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.
- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
2015-04-07T13:00:00Z By Joe Mont
Image: New regulations gush like a flood these days, forcing compliance officers to think of new ways to manage the current. Inside, we look at the IT strategies necessary to digest regulatory changes, plus the policy and procedure techniques to involve more parts of the enterprise. “It needs to be ...
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.
Site powered by Webvision Cloud