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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Roberta Holland2015-03-04T13:30:00
Image: Title: BaileyThe U.K. Prudential Regulation Authority says individual senior managers of financial firms could face sanctions if a breach occurs in their area of responsibility and it’s proven the manager took no reasonable steps to avoid it. “Our new accountability regime will hold all senior managers, including non-executive directors, ...
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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
2024-07-12T10:49:00Z By Neil Hodge
It’s been a trying time for staff at firms with redundancies, affecting morale as layoffs mount amid an effort to silence dissent in the ranks for those departing.
2024-07-09T19:08:00Z By Ruth Prickett
Codes of ethics and conduct are becoming ubiquitous, yet instilling high standards of corporate integrity still seems an elusive goal. Why is corporate culture such a challenge?
2024-07-01T15:45:00Z By Margaret Holmes Tibbets, CW guest columnist
Margaret Holmes Tibbets, chief compliance officer at financial technology company Pipe, explains how firms are facing an existential compliance crisis, and to survive they’ll need to overcome not one but two hurdles.
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