- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Provided by 
Dun & Bradstreet2018-04-23T15:00:00
Beneficial ownership transparency is in the spotlight, and many compliance experts believe 2017 was a turning point in achieving greater transparency at a global scale, especially in preventing tax evasion and corruption.
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The U.K. Financial Conduct Authority apologized to investors in peer-to-peer investment firm Collateral for not acting swiftly enough to prevent Collateral from defrauding its customers.
New York-based SeaCrest Wealth Management will pay a $375,000 fine for failing to properly prevent a cherry-picking scheme perpetrated by one of its investment advisers.
Financial services firm Cantor Fitzgerald will pay a $6.75 million fine to the Securities and Exchange Commission for making misleading statements regarding two special purpose acquisition companies that it controlled.
The individual requirements for your security and risk operations are increasingly complex—and interconnected. Yet despite this increased interconnectivity, many organizations still manage their security operations (SecOps) and integrated risk management (IRM) functions in silos.
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.
