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.
- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2015-01-12T11:00:00
The Commodity Futures Trading Commission recently shed more light on the new annual reports that compliance officers at swaps dealers must now provide. The CFTC guidance outlines expectations for assessing a firm’s written policies and procedures, including the code of ethics and conflict-of-interest policies. Shortcomings must be explained in detail, ...
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.
2024-12-18T07:49:00Z By CW Staff
Cornell Capital announced the promotion of Jennifer Cattier, who joined as chief operating officer and chief compliance officer in 2022, to partner.
2024-12-11T03:25:00Z By CW Staff
Liberty Mutual Insurance announced that Nicole Arangio has been named executive vice president and chief compliance officer, effective Apr 1.
2024-12-06T08:09:00Z By CW Staff
Norm Ai, which provides an AI-powered regulatory compliance platform for the legal and compliance industries, announced that New York Life Insurance’s Chief Compliance Officer Sandi Tillotson has joined its Regulatory Advisory Board.
Site powered by Webvision Cloud