What Really Drives Compliance – Is ‘Tone from the Top’ Enough?
In this contributed article, Hoda Aden Mohamed, Corporate Compliance at Nordic Semiconductor, asks what really drives compliant cultures - is it the tone at the top? Or something more practical?
$40,000 fine for individual who used personal phone for business
FINRA has issued an individual with a $40,000 fine after he was found to have used a prohibited personal phone for business purposes.
Trouble at the top? SEC charges senior execs with insider trading
The SEC has charged a CCO, CSO, and a Police Chief with insider trading. Are senior leaders muddying the waters when it comes to compliance?
FINRA enforcement cements focus on unauthorized comms and senior managers
FINRA has taken action against an investment bank and two senior managers for their use of text messages for business activity. We explore why this enforcement matters for the compliance team.