- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Image: A term of the moment in regulatory circles is “culture of compliance,” a desire for firms to move beyond check-the-box rules and compliance demands by making good behavior part of their corporate zeitgeist. We spoke to Barbara Boehler, a regulatory compliance expert at Wolters Kluwer, about how to define ...
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Kelly Noll, chief ethics and compliance officer at Allstate, shares how the insurer fosters a culture of ethics built on integrity, honesty, and accountability. Interview by Jaclyn Jaeger.
Jaclyn Jaeger talks with Carey Roberts, deputy general counsel and chief compliance officer of Marsh & McLennan Cos., about her unique dual legal and compliance role.
New York-based SeaCrest Wealth Management will pay a $375,000 fine for failing to properly prevent a cherry-picking scheme perpetrated by one of its investment advisers.
