Search for: "OFFICE OF COMPLIANCE"
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27 Jun 2009, 5:40 am
Check out the compliance officer's viewpoint on financial institution-related regulatory changes, courtesy of the West Texas Compliance Officers' Association: Link: Download Compliance Officer - Run Over by Regulations [read post]
7 May 2021, 1:36 pm
How Compliance Officers Can Become FCA or SEC Whistleblowers The panel explored how and when compliance officers can bring an SEC or FCA whistleblower complaint. [read post]
14 Jun 2011, 11:39 am
Congratulations are in order for Michael Shaw, from GlaxoSmithCline, the funniest compliance officer in America! [read post]
28 Nov 2023, 8:10 pm
We only have one compliance officer. [read post]
12 Nov 2018, 4:01 pm
Frankel, Tamar, The Law Officer (LO) and Compliance Officer (CO): Status, Function, Liabilities, and Relationship (October 19, 2018). [read post]
22 Mar 2022, 9:10 am
Continue reading › The post FINRA Enforcement Puts Chief Compliance Officers on Notice appeared first on FINRA Lawyer Blog. [read post]
7 Nov 2022, 6:25 am
Our latest job listing comes from Gibson Dunn which is looking for a: “Compliance Officer” — Gibson, Dunn & Crutcher LLP, a premier international law firm with over 1,600 attorneys and 20 offices in major financial centers worldwide, seeks a Compliance Officer. [read post]
15 Nov 2007, 7:07 am
We applaud the SEC's efforts to develop ongoing relationships with compliance officers outside of the examination process. [read post]
6 Apr 2012, 10:00 pm
Filed under: Best Practices,Chief Compliance Officer,compliance programs,Department of Justice — tfoxlaw @ 1:11 am Tags: best practices, CCO, Chief Compliance Officer, Department of Justice, DOJ, FCPA © by Thomas R. [read post]
30 Aug 2018, 3:15 pm
“The Office of Compliance Initiatives expands our efforts to promote full compliance with federal labor law. [read post]
30 Sep 2021, 7:37 pm
The Securities and Exchange Commission charged Jose Luis Casero Sanchez, a former Senior Compliance Analyst who worked in the Warsaw, Poland office of an international investment bank, with insider trading involving at least 45 corporate events with the investment bank’s clients. [read post]
3 Nov 2018, 7:26 am
The emerging position of Compliance Officers (COs) poses issues concerning their status and relations to Law Officers (LOs). [read post]
14 Aug 2013, 5:22 am
The idea of a corporate compliance monitor often reminds people of a probation officer. [read post]
17 Nov 2023, 10:33 am
” Read: The Pathway To Becoming Chief Compliance Officer at Major, Lindsey & Africa [read post]
24 Nov 2020, 2:22 pm
On November 19, 2020, Peter Driscoll, director of the Office of Compliance Inspection and Examination (“OCIE”) of the Securities and Exchange Commission (“SEC”), gave a speech urging advisory firms to empower their Chief Compliance Officers (“CCOs”). [read post]
7 Dec 2017, 2:00 am
On November 20, 2017, Mayor Bill de Blasio announced the appointment of Edna Wells Handy to the New York City Housing Authority’s Executive Compliance Department as Acting Chief Compliance Officer. [read post]
16 Oct 2015, 5:00 am
Survey: Compliance Officer Increasingly a Stand-Alone Position This recent annual survey report from Deloitte/Compliance Week – reflecting input from over 350 multi-industry compliance professionals world-wide – generally reveals increasing acknowledgement of the importance of the compliance function. [read post]
7 Nov 2013, 1:52 pm
Ten days after leaving my compliance officer position and prior... [read post]
1 Apr 2024, 12:05 pm
Read CFTC Makes First Whistleblower Award to Compliance Officer at constantinecannon.com [read post]
17 Oct 2016, 11:07 am
On Oct. 17, 2016 at the National Society of Compliance Professionals 2016 National Conference in Washington, D.C., Marc Wyatt, Director of the SEC's Office of Compliance Inspections and Examinations delivered a keynote address entitled Inside the National Exam Program in... [read post]
