- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Every organizational unit has some level of risk it must address. Yet, most internal teams lack the ability to identify priorities and accountability to stay ahead of new threats to the business, thus leaving the process of managing risk to be more reactive. While many risks exist within each function, ...
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Four federal banking regulators have joined the Treasury Department’s Financial Crimes Enforcement Network in issuing a notice of proposed rulemaking that would require financial institutions to conduct more thorough risk assessments on their anti-money laundering/countering the financing of terrorism programs.
The U.K.’s Financial Conduct Authority asked banks and financial institutions “to do more” to ensure that U.K lawmakers and their families are not treated unfairly.
Nearly three-quarters of compliance professionals at investment firms have made testing for off-channel and electronic communications surveillance a top priority in mock exams, according to a new poll, with more than half calling it the “hottest” topic of discussion.
