SEC’s Branch Chief on Data Analysis and 9 things CCO’s should do
SEC’s Chief of Staff Andrew Donahue recently spoke at the National Regulatory Services Fall conference and gave CCO’s
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SEC’s use of ‘Big Data’ anlaytics and Compliance
The SEC had a record year of 807 enforcement actions and orders for $8.2 Billion in penalties and
Read more →AML Compliance Automation and SARs filing … risks of manual reviews
Securities and Exchange Commission Enforcement Chief Andrew Ceresney said to the broker-dealers community at the Securities Industry and
Read more →Is your compliance program automated or are you in the dark ages?
Firms and compliance officers are under severe regulatory pressure with increased enforcement actions by FINRA, the SEC and other regulators for ‘Failure
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