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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
NY Comptroller: Sweeping Compliance Overhaul in the Works
Image: The New York Comptroller’s Bureau of Asset Management is implementing sweeping compliance, ethics, and audit reforms for how it oversees the assets of the five city pension funds. These reforms will “significantly enhance accountability, transparency and ethics in my office,” said Comptroller Scott Stringer. Details inside.
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NY Regulators Pose New Challenges to Compliance Officers
Image: The state of New York is muscling its way into financial regulation, with regulator Benjamin Lawsky proposing moves in anti-money laundering compliance far more bold than anything the feds are doing. Inside is a look at what the Empire State wants to achieve, and the potentially severe liability CCOs ...
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News BriefSEC slams WWE founder Vince McMahon for misstatements caused by hush money payments
Vince McMahon, the founder and former CEO of WWE, was fined $400,000 and ordered to reimburse the wrestling giant more than $1.3 million to settle charges brought by the Securities and Exchange Commission that he failed to disclose hush money payments he made on behalf of himself and the company.
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SurveySurvey: Is your compliance training program working for you?
This Compliance Week survey, sponsored by Ethena, seeks to learn more about compliance training at your firm, the challenges your organization faces tracking, rolling out and maintaining your training programs, and how customizable those training programs are.