- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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, ...
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During a panel at Compliance Week’s Financial Crimes and Regulatory Compliance Summit, held June 10-11 in New York, experts discussed nuances in bank-financial technology partnerships, offering best practices for how banks should protect themselves.
Cetera Financial Group announced that Gwen Weithaus has been named chief compliance officer for Cetera Investment Services.
A whistleblower received an $8 million award from the Commodity Futures Trading Commission for uncovering fraud—even though the agency deemed the whistleblower was culpable in the misconduct.
