Cindy Armine quits after one year
Stronger FCA focus may be diverting resources from day-to-day compliance tasks
Elderfield moves from Irish central bank
HSBC's $1.9 billion fine a sign that regulators have 'real bite'
The publication of swap definitions earlier this week initiates a 60-day countdown for compliance to key parts of the Dodd-Frank Act
CIOs and CCOs are working more closely together than ever before in these jittery compliance days. Waters asks, what’s the working relationship really like?
All US securities firms will be required to designate a chief compliance officer (CCO) who will, with the chief executive officer (CEO), certify annually that the firm is working toward compliance with various securities laws, according to the National...