- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Two Federal Reserve officials issued stern warnings regarding bank compliance efforts last week. William Dudley, president of the Federal Reserve Bank of New York, said that if financial institutions don’t fix their culture problem, they risk being broken apart. Meanwhile, Fed Governor Daniel Tarullo blasted banks that take a “check ...
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Five years ago, the Dodd-Frank Act imposed new rules governing everything from derivatives trades and mortgage lending to disclosures about executive compensation and conflict mineral usage. Have all those requirements really helped companies master a stronger ethical culture? Inside, we look at what steps some companies have taken to promote ...
Discover how cutting-edge mobile technologies are transforming the business landscape. A strong mobility strategy, paired with a top-tier compliance platform, is essential for scaling in today’s fast-paced environment.
The wealth management arm of Morgan Stanley is being probed by the Federal Reserve regarding the controls it has in place to prevent wealthy foreign customers from laundering money, according to a report from the Wall Street Journal.
