SAI Global GRC Community

GRC COMMUNITY
Building Organizational Integrity.
Blogs >> Anti-Money Laundering

Anti-Money Laundering

A Reuters article last week revealed that the Securities and Exchange Commission (SEC) has begun taking a new tact when conducting its compliance examinations at brokerage firms. Of note, this new practice by the SEC will require more direct involvement by a company’s executives and members of senior management in the compliance exam process, including on-site meetings and interviews with examiners. According to the article, the SEC had previously relied upon chief compliance officers as its primary points of contact for examinations

Read more...

© 2015 SAI Global Limited ABN 67 050 611 642

Login

LOG IN

Register

User Registration
or Cancel