- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Hearsay Social, provider of the Predictive Social Suite for financial advisors and insurance agents, announced the launch of its Social Business Maturity Model to help guide program development and advancement for financial services firms. The Social Business Maturity Model provides a quantitative metric for companies with large distribution teams to ...
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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.
Anonymous employees of OpenAI accused the company of requiring employees to sign nondisclosure agreements (NDAs) that “prohibited and discouraged” them from reporting securities law violations to federal regulators.
The co-founder and former chief technology officer of crypto peer-to-peer network Paxful faces charges related to violating the anti-money laundering requirements of the Bank Secrecy Act.
