- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
An effective vendor relationship management program starts with knowing what the risks are. You can’t manage what you don’t know; therefore, you need to create assessments that help you clearly identify the risks of doing business with third parties. This includes vendors, service providers, suppliers, contractors, and other people and ...
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Four federal banking regulators have joined the Treasury Department’s Financial Crimes Enforcement Network in issuing a notice of proposed rulemaking that would require financial institutions to conduct more thorough risk assessments on their anti-money laundering/countering the financing of terrorism programs.
The U.K.’s Financial Conduct Authority asked banks and financial institutions “to do more” to ensure that U.K lawmakers and their families are not treated unfairly.
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.
