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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2017-10-17T09:30:00
The Treasury Department has released the second in a series of reports detailing efforts to pull the plug on regulations, and it may offer a more prudent plan that its politics suggests.
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2024-07-18T14:27:00Z By Adrianne Appel
Nearly three-quarters of compliance professionals at investment firms have made testing for off-channel and electronic communications surveillance a top priority in mock exams, according to a new poll, with more than half calling it the “hottest” topic of discussion.
2024-06-20T17:09:00Z By Adrianne Appel
Freedom Mortgage Corp. would have to pay a $3.95 million fine and carry out regular auditing and testing of its loan data under a proposed order by the Consumer Financial Protection Bureau.
2023-07-21T15:37:00Z By Kyle Brasseur
Digital World Acquisition Corp. faces a penalty of $18 million as part of a settlement reached with the Securities and Exchange Commission regarding fraud allegations related to its dealings with Trump Media & Technology Group.
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