- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The rise of messaging apps such as WhatsApp and WeChat mean that compliance departments will have to square encrypted messaging with current healthcare and finance regulations.
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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.
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.
Citigroup will pay $135.6 million in fines levied by two banking regulators for repeated failures to remediate deficiencies in risk management, data governance, and internal controls.
