Tag:
compliance
Latest Headlines
Latest Headlines
Debate over compliance officers kicks up again
Supervision has been a big enforcement priority for years, and there has been more than a few failure to supervise charges.
Diversity as a compliance issue
Many of you probably do not recall that Section 342 of Dodd-Frank requires the establishment of 20 Offices of Minority and Women Inclusion at regulatory agencies.
Answering "compliance fatigue"
The whole idea of corporate compliance can be overwhelming, as the new rules seem to crop up frequently at the federal and state levels and existing rules seem to constantly shift.
Risk management, compliance lack integration
In many ways, the GRC industry has made great gains over the past few years, especially as premier vendors and independent companies alike continue to enjoy success.
Content/document management imperative intensifies
Few industries have suffered like the financial services industry has recently.
Consumerization: Implications for compliance
As you well know, one of the biggest IT trends in the corporate world right now is consumerization.
Compliance executives' top concerns
At a recent Compliance Week event, participants were asked to list their two biggest third-party risks.
MF Global scandal continues to unfold
When the MF Global scandal rocked the financial services industry not too long ago, the SROs started to squirm.
Contrarian view of Big Data and compliance
The conventional wisdom holds that Big Data will prove to be a huge boon from a compliance perspective. A big part of compliance boils down to intelligently capturing relevant data that grows more...
Compliance officers, risk managers face retaliation
Many risk management professionals and compliance managers could sympathize with Michael Roseman, who testified before Congress recently about his tenure at the disgraced, imploded MF Global, where $1.2 billion in customer money remains missing.
