While there's no legal imperative for a dealership to hire a compliance officer, dealers who don't dedicate an employee to monitor compliance are more vulnerable to customer complaints and legal ...

Children's Mercy names chief compliance officer Abby Jackson, bringing expertise from UT Southwestern and Southwestern ...

RIA Summit Wealth Group has hired Scott Wilkinson from its former broker/dealer, Commonwealth, to be chief compliance officer ...

Starting a new job as a compliance leader can be daunting. Here's what you need to know. Becoming a compliance officer may be a lifelong dream or a goal that evolves over time. Depending on your ...

The code officer told WFAA she has done nothing wrong, and that she and the mechanic are friends, which he disputes.

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

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 ...

Capital markets regulator SEBI has tightened norms for the alternative investment fund (AIF) industry by making a ...

SEBI makes NISM certification mandatory for compliance officers of AIF managers, with only certified officers allowed from ...

The pediatric hospital hired a new chief compliance officer, who will succeed a longtime hospital leader retired after 23 ...