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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
SEC data breach reveals fear and loathing in the mainframe
A breach disclosure by the SEC does the agency no favors as it prepares to dig deep into data troves for market surveillance.
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Blog
Exasperated Clayton briefs Senators on SEC breach
SEC Chairman Jay Clayton provided fresh insight into the Commission's recently annunced 2016 data breach during scheduled testimony before the Senate Banking Committee.
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OpinionFive reasons why I’m excited about CW’s Cyber Risk & Data Privacy Summit
Having worked for Compliance Week for three years, I’ve found it remarkable how compliance professionals can be so consistently upbeat about their plight. An often refrain in compliance circles is “be comfortable with being uncomfortable.” As difficult as the job can be, that clearly doesn’t mean it can’t be fun.
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News BriefSEC fines LPL Financial $18M for failed due diligence on new, high-risk accounts
Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its anti-money laundering program did not properly vet customers and failed to close or restrict thousands of high-risk accounts.