- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
ProcessUnity, a provider of cloud-based applications for risk management, launched the latest version of its Risk and Compliance platform.
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The Financial Industry Regulatory Authority fined broker-dealer Morgan Stanley $1 million over alleged documentation failures related to risk management controls and supervisory procedures involving violations of the Market Access Rule.
The individual requirements for your security and risk operations are increasingly complex—and interconnected.
Attend this Compliance Week webinar to synthesize the current ”state-of-play” for current and proposed rules for the ethical and responsible use of AI in financial services settings.
