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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2014-10-09T16:15:00
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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.
2024-05-21T12:45:00Z By Ruth Prickett
A recent survey by surveillance technology firm SteelEye found most financial institutions do not monitor their employees’ use of social media or factor in market risks exacerbated by social media posts.
2023-04-14T13:09:00Z By Neil Hodge
The BBC’s widely criticized suspension of soccer commentator Gary Lineker for remarks he made on Twitter should prompt employers to reconsider whether they have the right to discipline employees or contractors for what they do outside of the work environment.
2021-09-28T17:36:00Z By Aaron Nicodemus
The SEC’s new marketing rule allows certain types of advertising, endorsements, and testimonials that were previously prohibited. Investment advisers are “excited” about the new possibilities—but compliance officers must warn them of the risks.
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