- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Provided by Theta Lake2024-02-22T01:15:00
Firms attempting to meet regulatory requirements for monitoring employee use of off-channel communications for business purposes face a bedeviling number of obstacles. How much is enough, in the opinion of regulators? How much is too much, in the eyes of employees? Is using internal policies, controls, and training sufficient, or should a firm consider hiring a vendor to help? In this eBook, readers will learn:
2025-05-09T14:21:00Z By Ruth Prickett
Secure, resilient communications and trading platforms are critical both to financial services firms and to governments that know their economies depend upon them, says Corinna Mitchell, General Counsel at FS digital communications provider Symphony. That’s why her company is investing more in managing rapidly evolving compliance demands from multiple regulators ...
2025-05-08T21:43:00Z By Aaron Nicodemus
A decision by the Securities and Exchange Commission to close an investigation into the cash sweep program at Morgan Stanley may affect decision-making at other financial institutions under similar scrutiny.
2025-05-07T20:31:00Z By Oscar Gonzalez
The U.S. Consumer Financial Protection Bureau (CFPB) signaled a softer regulatory approach last month, easing its investigation of financial firms following the U.S. government’s broader efforts under President Donald Trump to scale back regulatory enforcement on businesses. The agency reaffirmed this pivot as it will ease scrutiny of “Buy Now, ...
2025-03-21T04:40:00Z Provided by HITRUST
TPRM has always been a tough subject, requiring regular monitoring and audits to be done right. But until recently, it was something companies chose to do.
2024-11-20T03:42:00Z Provided by NAVEX
New whistleblower award programs are in the works at U.S. agencies including the Department of Justice and Financial Crimes Enforcement Network, while key regulators in the United Kingdom have also expressed support for compensating individuals.
2024-08-11T15:41:00Z Provided by Scrut Automation
Stay ahead of the curve with our latest ebook on the top Governance, Risk, and Compliance (GRC) trends of 2024.
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