Microsoft's Copilot Usage Report 2025 offers compliance professionals a rare, data-driven look at how artificial intelligence ...

While there's no legal imperative for a dealership to hire a compliance officer, dealers who don't dedicate an employee to monitor compliance are more vulnerable to customer complaints and legal ...

RIA Summit Wealth Group has hired Scott Wilkinson from its former broker/dealer, Commonwealth, to be chief compliance officer ...

The code officer told WFAA she has done nothing wrong, and that her and the mechanic are friends, which he disputes.

Starting a new job as a compliance leader can be daunting. Here's what you need to know. Becoming a compliance officer may be a lifelong dream or a goal that evolves over time. Depending on your ...

In 2016, FINRA decided to take a closer look at how firms integrate compliance into their culture. Although this focus didn’t make it into the 2017 exam priorities letter, it stands to reason that ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Prienitz succeeds Kathy Lauer, who had served as interim chief compliance officer since July 2025. Lauer will continue to advise PACS through the first quarter of 2026 to assist in the transition and ...

The ex-Stephenson Harwood compliance officer will be unable to work in the industry without prior approval and has been ordered to pay a proportion of the SRA's costs.

A compliance officer at a City law firm who pretended he was at work when he was actually working from home – and continued ...