- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Image: The institutions participating in the Greenwich Associates 2017 U.S. ETF Study are preparing their investment portfolios for the return of volatility and the shift to a rising interest rate environment. As part of those efforts, they’re increasing their use of ETFs and integrating the funds into more sophisticated ...
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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.
