The Chief Compliance Officer (CCO) role is essential in building an organization that meets regulatory standards and upholds a robust ethical culture. But what should the CCO be reporting to the Board ...

With predictions of an uptick in M&A activity in 2023, and growth-oriented firms looking to expand into additional areas of meaningful advisory services, now is an opportune time to reinforce the need ...

Compliance officers do not have easy jobs. They’ve got to navigate ever-changing regulations, follow trends in their own industry and other parts of the world, while also managing the internal culture ...

The crypto industry is evolving rapidly, and regulatory enforcement is keeping pace. It’s essential that businesses engaged in crypto transactions, custody, lending, trading, or payments stay on top ...

LOS ANGELES--(BUSINESS WIRE)--Mid-sized companies were more frequently subjected to software license audits in the past three years, and more than half of audited companies paid up to $1 million in ...

When people ask me why I chose to be a compliance and ethics officer, my answer is simple: because what we do changes the world. When I first stepped into this profession, my title was not “Chief ...

In 2016, FINRA decided to take a closer look at how firms integrate compliance into their culture. Although this focus didn’t make it into the 2017 exam priorities letter, it stands to reason that ...