- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Provided by 
Osprey Compliance Software2018-06-04T09:00:00
An outdated or inefficient process for tracking and dealing with conflicts of interest can be a major contributor to the risk of noncompliance. However, the contributors to risk are not always clear. Outlined in this white paper are “5 Ways Your COI Process Creates Risk.
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The U.K. has issued 56 new sanctions against entities and individuals involved with Russia’s war effort, including several private mercenary groups operating in Africa that are connected to the Kremlin.
The Financial Industry Regulatory Authority fined broker-dealer Morgan Stanley $1 million over alleged documentation failures related to risk management controls and supervisory procedures involving violations of the Market Access Rule.
The individual requirements for your security and risk operations are increasingly complex—and interconnected.
The message from the regulators is clear - having an off-channel policy for mobile communications is not good enough.
To help investors gain a better understanding of cyber risk, the US Securities and Exchange Commission (SEC) has created sweeping new rules—forcing companies to take a more proactive approach to cybersecurity.
Spending countless hours tracking down controls evidence for your audit and compliance activities is an annoyance at best and a major drag on productivity and effectiveness at worst.
