- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Aarti Maharaj2015-10-16T12:00:00
The U.K’s Finance Ministry is scrapping a key part of the Senior Managers Regime that demanded senior managers prove that they took the necessary steps to prevent employee misconduct. Instead, a new “duty of responsibility” clause will require senior managers to take only the appropriate steps to prevent a regulatory ...
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2018-07-18T14:15:00Z By Jaclyn Jaeger
Britain’s financial services industry is bracing for new rules that will significantly broaden the scope of senior executives who will be personally held to account to U.K. regulators for failures that occur under their watch.
2016-01-05T11:00:00Z By Aarti Maharaj
Image: For compliance officers in Europe, 2015 has been a big year. Aside from focusing on reporting wrongdoing and promoting a speak-up culture, watchdogs have been keeping compliance practitioners busy with a barrage of regulations that show no sign of easing. As compliance officers wonder to what degree the past ...
2015-11-03T12:00:00Z By Jaclyn Jaeger
Image: During a panel discussion at Compliance Week’s Europe conference in Brussels last week, compliance executives discussed the broad implications of the new Senior Managers Regime, which makes senior executives personally accountable to regulators for their actions. You’ll also read a candid story of what a run-in with the Financial ...
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