- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Many investors are discovering they can no longer rely exclusively on the old bond trading model to meet all their liquidity needs. Seismic regulatory shifts have reduced large banks’ balance sheets, constraining their ability to hold inventory and support market liquidity. As a result, it has become harder and more ...
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Crypto-friendly Silvergate Bank will pay a total of $63 million penalties to California and the Federal Reserve Board to settle charges that its anti-money laundering program failed to properly monitor more than $1 trillion worth of customer transactions.
During a panel at Compliance Week’s Financial Crimes and Regulatory Compliance Summit, held June 10-11 in New York, experts discussed nuances in bank-financial technology partnerships, offering best practices for how banks should protect themselves.
The Supreme Court of the United States overturned a long-held precedent in which courts deferred to federal agencies in interpreting complex or ambiguous regulations–a decision that could make thousands of federal regulations more vulnerable to legal challenges.
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.
Financial risk is one of the third-party risk management (TPRM) domains most likely to directly harm your organization.
