- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Image: In a recent poll by Protiviti and North Carolina State University of 277 board members and top executives, 67 percent identified regulatory risk as the top concern for the third time since the survey began. Protiviti managing director Jim DeLoach says, “The fact that this is so top of ...
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What are the top threats to the U.S. financial system? In a new report, the Financial Stability Oversight Council cites cyber-security, financial innovations, and high-frequency trading among the problems regulators must address. Critics fret, however, that the agency wants “to get rid of the capital markets and replace everything with ...
Image: New regulations gush like a flood these days, forcing compliance officers to think of new ways to manage the current. Inside, we look at the IT strategies necessary to digest regulatory changes, plus the policy and procedure techniques to involve more parts of the enterprise. “It needs to be ...
A cannabis company agreed to pay $225,000 to settle allegations that funds were temporarily deposited into its year-end accounts for the sole purpose of inflating year-end cash, the Securities and Exchange Commission said.
