Goldman Sachs sacks four executives for serious violations of communications compliance policy
Goldman Sachs has terminated four executives, including its head of transaction banking, for “serious violations” of the firm’s communications policies and failure to cooperate with compliance teams.
Compliance & Conversation: Event Overview
In the fast-changing compliance and risk environment, knowledge sharing and learning from collective experience is vital to ensuring organizations can handle today’s challenges – and those yet to come.
Personal Devices, Personal Liability
The Financial Industry Regulatory Authority’s recent sanction of an Edward D. Jones & Co. veteran is a stark warning that, when it comes to illicit communications, compliance just got personal.
Illicit communications and where to find them
Regulators are tightening their net to catch firms who fail to prevent the use of illicit communications. We look at where off-channel communication channels are hiding, and how to find them.