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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By GRC Announcements2019-05-23T20:37:00
Agio, a cyber-security and managed IT services provider for financial services, announced enhancements to its SEC cyber-security mock audit service.
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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
2019-04-23T19:24:00Z By Jaclyn Jaeger
The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert on Regulation S-P describing the most common deficiencies it has uncovered in recent examinations of both registered investment advisers and broker-dealers.
2024-07-19T16:20:00Z By Aaron Nicodemus
A whistleblower will be paid $37 million by the Securities and Exchange Commission for providing original, credible information that led to a successful enforcement action.
2024-07-19T13:28:00Z By Neil Hodge
Within two weeks of gaining power, the U.K.’s newly elected Labor government has confirmed its intention to beef up the audit regulator and strengthen corporate governance.
2022-06-15T20:33:00Z By GRC Announcements
The International Compliance Association, a leading professional body for the compliance community, announced its first MENA 2022 Regulatory and Financial Crime Compliance Conference on at the Fairmont Hotel, Dubai.
2021-12-21T15:50:00Z By GRC Announcements
The International Compliance Association has partnered with international legal and compliance recruitment firm Series B to advance compliance education across the world.
2021-11-17T22:40:00Z By GRC Announcements
The International Compliance Association has launched an enterprise-wide risk assessment tool to help its members better assess, document, and manage financial crime risk.
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