- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By 
Neil Hodge2019-08-20T15:19:00
Amid pressure from Chinese authorities after initially not penalizing employees for taking part in the Hong Kong pro-democracy protests, two top Cathay Pacific executives have tendered their resignations.
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USAA Federal Savings Bank has been hit with its third cease and desist order from the Treasury Department’s Office of the Comptroller of the Currency in the past five years for failing to correct unsafe and unsound banking practices.
When lawmakers slam the U.K.’s chief financial regulator as “incompetent,” it not only opens the doors for others to pile criticism on it, but it sparks a debate about how the organization can be improved–or removed.
The U.K. Financial Conduct Authority apologized to investors in peer-to-peer investment firm Collateral for not acting swiftly enough to prevent Collateral from defrauding its customers.
Ride-sharing company Uber says it will clean up its act after agreeing to settle charges of sexual harassment and retaliation with the U.S. Equal Employment Opportunity Commission.
Human rights campaign group Amnesty International has said it will lose most of its senior leadership team after a scathing report slammed the organization’s “toxic” workplace culture.
Peter Driscoll, director of the SEC’s Office of Compliance Inspections and Examinations, recently spoke on the role of compliance officers in protecting retail investors.
