- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Vulnerable customers have finally reached the top of the regulatory priority list. New guidance from the U.K. Financial Conduct Authority sets out what will be expected of firms in providing an appropriate level of care.
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Times and technologies change, but the fundamental means by which criminals attempt to launder money and carry out their nefarious acts are still rooted in the same criminal process.
A recent roundtable on best practices for risk management saw delegates share their experiences in conducting assessments that are accurate, effective, and efficient.
Compliance is perfectly primed to adapt, with the ability to influence change in culture as part of integrated and innovative approaches to risk management. Does that translate to the board level?
A Bank of England report warned of private equity risk management deficiencies as interest rates remain stagnant, with international coordination important.
Compliance departments at financial institutions must become more involved in ensuring their firm’s operational resiliency to address emerging risks, the Treasury Department’s Office of the Comptroller of the Currency said in its semi-annual risk perspective.
Compliance has been “sleeping on” artificial intelligence, two panelists discussed at Compliance Week’s Women in Compliance Summit. The profession should be positioned to lead on AI governance at the business level.
