Compliance Officer Probes Stir Alarm Among Their Peers
U.S. Regulators have vowed to hold more individuals responsible for controls failures at financial institutions and the spotlight on two compliance officers has already stirred concerns in the profession about being penalized for decisions made on the job
Rachel Louise Ensign
The Wall Street Journal. Risk & Compliance Journal.
September 15, 2014
To view the full article and contributing quotes by Arthur Middlemiss click here.