IT Compliance Advisor:

Dodd-Frank

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May 28, 2015  1:31 PM

Wall Street, small banks still plagued by regulatory compliance enforcement

Fran Sales Fran Sales Profile: Fran Sales
Banking industry, Chief Compliance Officer, Compliance, Dodd-Frank, Financial fraud, Financial industry, Financial regulations, grc, regulatory compliance

If recent headlines are any indication, Wall Street banks and other financial institutions continue to garner poor marks when it comes to regulatory compliance: Earlier this month, several major global banks pleaded guilty to federal accusations regarding the rigging of foreign exchange rates. Also...

May 6, 2015  4:44 PM

SEC calls for more executive pay transparency; proposed law could allow hacked firms to keep mum

Fran Sales Fran Sales Profile: Fran Sales
Cell phones, CIO, Compliance, Customer data, Data breach disclosure, Data breach notification laws, Data privacy, Dodd-Frank, FBI, gps, Hacking, SEC, tracking

The Securities and Exchange Commission (SEC) is pushing to provide U.S. shareholders with better metrics to compare executive pay against company performance. In other GRC headlines from recent weeks: A new law moving through Congress could allow breached companies to keep intrusions under wraps;...


July 23, 2014  7:26 PM

Risk landscape disrupts Wall Street banks and CISO roles

Fran Sales Fran Sales Profile: Fran Sales
CIO, CISO, Cybercrime, cyberdefense, cybersecurity, Data breach, Dodd-Frank, Information security, Risk management

Organizations of all stripes are feeling the impact of mounting risk. In the past few weeks alone: Wall Street's big banks reacted to a changing regulatory landscape; a new survey found that many companies do not have an adequate enterprise risk management strategy; and chief information security...


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