Chief compliance officer (CCO)
Industry insights report: Compliant communications 2023
Global Relay's first industry insights report serves as a litmus test for market responsiveness to regulatory action for record-keeping and communications compliance
FCA skilled persons reviews 'a distraction from compliance', experts warn
Stronger FCA focus may be diverting resources from day-to-day compliance tasks
Lloyds names new conduct and compliance head
Elderfield moves from Irish central bank
HSBC fine ‘warning shot’ to industry, experts say
HSBC's $1.9 billion fine a sign that regulators have 'real bite'
Publication of swap definitions triggers countdown to compliance deadline
The publication of swap definitions earlier this week initiates a 60-day countdown for compliance to key parts of the Dodd-Frank Act
The Compliance Dance
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?
Securities firms must certify compliance with securities laws, says NASD
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…