- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Provided by 
Riskonnect and 
Salesforce2024-07-11T14:00:00
Taking on challenges from the always changing regulatory environment to cyber risks and data security requires a proactive, integrated approach to governance, risk, and compliance (GRC) management.
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A lack of risk visibility is causing companies to reject customers–and potentially lose money–over fears they might be in danger of violating rules around anti-money laundering and sanctions regulations.
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.
A subsidiary of MetLife will pay more than $178,000 for violating U.S. sanctions on Iran when it provided insurance policies to entities in the United Arab Emirates owned or controlled by Iran.
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.
