- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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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 ...
Financial institutions would be required to conduct more thorough risk assessments on their anti-money laundering/countering the financing of terrorism programs under a new rule proposed by the Treasury Department’s Financial Crimes Enforcement Network.
Big Four firms PwC and EY were each penalized by the Financial Reporting Council for alleged shortcomings during their respective audits at collapsed investment firm London Capital & Finance.
