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 ...

UltraTech Cement Limited has announced the appointment of Mr. Dhiraj Kapoor as the Company Secretary and Compliance Officer, effective December 1, 2025. Alongside Mr. K. C. Jhanwar, Managing Director, ...

In a recent episode of our podcast, we stepped away from our usual audience of compliance professionals to deliver an important message directly to CEOs and executive leadership. If you’re a top ...

Brookfield, Wisconsin-based MLG Capital appointed Kelly Whetstone as Chief Compliance Officer and Associate General Counsel.

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 ...

Tom and Matt discuss the inspiring story of Doron Clark, a Medtronic compliance officer recently elected Democratic state senator in Minnesota. This event sparked a larger conversation about why ...

MLG Capital has appointed Kelly Whetstone, a compliance veteran with more than 20 years of financial services experience, as ...

Collaboration, transparency and education can strengthen compliance and empower financial advisers to thrive. Compliance ...