- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Provided by 
Smarsh
This webinar will shed light on the critical need for heightened awareness regarding business communications in the financial sector.
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A bank examiner and senior manager at the Federal Reserve Bank of Richmond pled guilty to insider trading after allegedly misappropriating confidential information on seven banks to make profitable trades.
President-elect Donald Trump announced he plans to appoint Cantor Fitzgerald President and CEO Howard Lutnick to lead the U.S. Commerce Department, as the incoming administration is expected to charge import tariffs against friends and foes.
New York-based investment firm Drexel Hamilton will pay more than $1.1 million in penalties, with four current and former employees paying fines as well over committing hundreds of violations of rules regarding the sale of municipal bonds.
The Department of Justice received more than 200 whistleblower tips since it launched its long-awaited Corporate Whistleblower Awards (CWA) Pilot Program on Aug. 1, according to the program’s Acting Director Patrick Gushue in a Compliance Week exclusive.
The archive a firm selects can make or break their compliance strategy yet selecting an archive that meets your firm’s needs can be daunting. It is nearly impossible to identify the differences between vendors at first glance.
Attend this Compliance Week webinar to synthesize the current ”state-of-play” for current and proposed rules for the ethical and responsible use of AI in financial services settings.
