Auditor and senior associate netted unlawful trading profits
The program will help compliance chiefs ensure effective communication about compliance and maintain effective controls at their firms
Compliance team planning to update risk assessment models for investment counsel and portfolio managers and fund managers
Sharing of examination findings can help compliance officers proactively fine-tune supervisory controls, regulator says
Changes would eliminate waste and duplication in compliance
SROs issue joint notice on compliance
Officers must have credibility with senior management and corporate boards
Prospective and previously approved CCOs would have to pass qualifying exam
Electronic reporting of enforcement and compliance related information would benefit members, regulator says
Streamline regulatory regime to reduce compliance burden on businesses