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The award-winning, Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject. In...
Data analytics are becoming an increasingly important part of compliance performance. But how can companies ensure they are utilizing this technology to its fullest potential? I...
The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the...
Dheeraj Thimmaiah is Global Director of Ethics and Compliance, heading Compliance Analytics at AB InBev. He is data-driven and passionate about innovation. Dheeraj is dedicated to...
FINRA Regulatory Notice 21-03 â Fraud Prevention â Low Priced Securities On February 10 th, FINRA published Regulatory Notice 21-03 which focuses on fraud prevention for low-priced exchange-listed and OTC securities. The communication urges firms to review their policies and procedures relating to red flags of potential securities fraud involving low-priced securities. At the detailed data level, the notice references many of the concepts and data points OTC Markets Group has been proactively implementing over the course of the last decade to increase...