- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
A new survey finds that compliance professionals in the financial services industry are not keeping pace with their retention and supervision efforts, particularly as a growing, younger workforce relies on expanding, mobile-friendly channels, such as social media and text messaging.
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Twelve more firms have been dinged with fines by the Securities and Exchange Commission for failing to properly supervise employees who used off-channel communications to conduct company business. In this latest round of enforcement actions, nine investment advisers and three broker-dealers will pay a total of $63 million.
Experian, the credit reporting giant, let compliance slide when it came to addressing consumer complaints about incorrect data, the Consumer Financial Protection Bureau said in a lawsuit against the credit agency.
This Compliance Week survey, sponsored by Ethena, seeks to learn more about compliance training at your firm, the challenges your organization faces tracking, rolling out and maintaining your training programs, and how customizable those training programs are.
