FINRA’s 2016 Examination Priorities and Technology
Written by Don Lee FINRA has published its Annual Examination Priorities letter for 2016. This is an annual letter for all FINRA […]
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 […]