- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The Commodity Futures Trading Commission has approved a final rule that amends and clarifies its reporting obligations for compliance officers.
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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.
