- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
A former Wells Frago bank manager is headed to jail for his role in a $1.66 million mass mailing scam that was facilitated with a money laundering scheme.
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The Financial Industry Regulatory Authority issued fines against four large banks to end 2024, all for different alleged misconduct, but all related to the firms’ failures to implement a supervisory system reasonably designed to achieve compliance with FINRA rules.
As Donald Trump begins his transition to become president, there are questions about the fate of tech companies, as well as regulators from multiple administrations. Google in particular is fighting a high-profile antitrust ruling after an investigation started by Trump in 2020 could be resolved in his next administration.
Launching or expanding a corporate data analytics program for compliance can seem like a daunting task, but it is one worth adding to your to-do list in 2025.
