Are you effectively monitoring your trade desk?
Written by Don Lee Today Morgan Stanley agreed to pay $8.8 Million to settle charges for prearranged trading or “parking” that favored […]
How much does your firm spend on Compliance … is it enough?
Written by Don Lee Is your firm spending enough on compliance? That has been one of the main questions over the last […]
FinCEN’s $1 Million Fine Against CCO and Personal Liability
Written by Don Lee In December of 2014, FINCEN fined MoneyGram’s then Chief Compliance Officer Thomas Haider $1 Million as a civil […]
Compliance Officers and Personal Liability Report and What Compliance Officers Can Do.
Written by Don Lee Are you a compliance officer feeling threatened with increased personal risk, you’re not alone. Thomson Reuters recently published the […]