On March 17, 2022, FINRA issued a notice to member firms about Rule 3110 as it pertains to the potential liability of Chief Compliance Officers (CCOs) for failure to discharge designated supervisory ...

The recent issuance of frequently asked questions and interpretive answers by the SEC's Division of Trading and Markets (the "FAQs") [1] clarifies a "disturbingly murky" [2] area of the federal ...

When you have your eye on the manager's office at your firm, you should keep in mind that the crown of a supervisory or management position lies heavy. According to U.S. News and World Report, ...

Risk-based supervision has changed what regulators expect from banks. One of its most uncomfortable consequences is the exposure of weak, passive, or compromised boards ...

A position description serves as a formal document that summarizes the important functions of a specific job on which the university bases position postings, job interviews, and performance appraisals ...

Boulogne-Billancourt (France), 22 February 2019 - Vallourec announces the creation of a new specialized Committee to assist the Supervisory Board in monitoring corporate social responsibility (CSR) ...