Page 51 - Compliance Program News Today

Investegate announcements from Mitsubishi Elect., Statement re (Improper quality control practices)

Welcome to Greetings and Felicitations, a podcast where I explore topics that might not seem directly related to compliance but influence our profession and considers many structural...

Hoboken, New Jersey (PRWEB) October 20, 2022 -- Messaging Architects, an eMazzanti Technologies Company and Microsoft Cloud expert, explains the personalized

The Financial Industry Regulatory Authority (FINRA) Sanction Guidelines have been significantly revised, now giving FINRA discretion to impose considerably higher fines on mid- and large-size firms.

Financial Industry Regulatory Authority FINRA Sanction Guidelines have been significantly revised, now giving FINRA discretion to impose considerably higher fines on mid- and large-size firms. The revisions also deleted 20 prior infrequently used guidelines.

State legislatures throughout the country were busy in 2022 introducing comprehensive data privacy bills.

OFFICIALS of the Public School System and its Special Education Program joined their counterparts in the region last week for the National Center for System Improvement’s 2022 In-Person Pacific Collaborative

The Biden Administration promised a new, aggressive approach to corporate crime. Well, the Justice Department just delivered a new, comprehensive policy that raises a number of issues,...

Microsoft has expanded its Cloud for Financial Services offering with new features in compliance and risk assurance, customer experience, data...

The Internal Revenue Service (IRS) Voluntary Compliance Program (VCP) is one of the best methods for retirement plan sponsors to come clean and cost-effectively fix their plan errors,...