- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
There are some basic certainties in life. Death. Taxes. The fact that "haters gonna hate." And to this list I think we can add that Sen. Elizabeth Warren will be "disappointed" in the SEC.
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The Securities and Exchange Commission and Financial Crimes Enforcement Network proposed a rule requiring registered investment advisers to implement customer identification programs, another facet of a coordinated attempt to close an apparent loophole in federal AML regulations.
Thanks to wayward hedge fund Och-Ziff, the entire finserv world might face an FCPA sweep. Compliance officers, take note. Jaclyn Jaeger reports.
Bringing a measure of transparency to its often secretive deliberations, the Financial Stability Oversight Council has released a public update on its review of potential risks to U.S. financial stability. Topping that list, beyond its controversial designations of banks and nonbanks as systemically important, are concerns about asset management products ...
