Matt Rybaltowski

Compliance officer fines spur debate over U.S. SEC tactic

21 Sep 2015

A spate of U.S. Securities and Exchange Commission enforcement cases involving several prominent financial services firms has renewed concerns that compliance officers could be blamed for violations committed by others at their companies.

How to find the best cyber security insurance for your firm

26 Jun 2015

A robust cyber security insurance policy can be tricky to procure, even for the most meticulous wealth management firms.

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