Does the market expect too much from a Chief Compliance Officer ?

I would like to meet the Chief Compliance Officer who answers “no” to this question but, that said, let us look deeper…..You are a Complian...

  • Dadmin
  • November 19, 2021
Should you be assessing your Cryptocurrency business now because Crypto will be regulated.

At the beginning of January 2019 market cap of crypto was about 200 million and in November it hit 3 trillion, colossal growth in a short period of t...

  • Dadmin
  • November 12, 2021
The Complexity of Running a Geographic Region and Dealing with Multiple Regulators

As an EMEA Chief Compliance Officer, I have run regulatory risk compliance programmes over numerous jurisdictions and encountered varied regulatory e...

  • Dadmin
  • October 21, 2021
Extreme Regulatory Scrutiny And What To Do

In 2012, I was hired by Getco (the number one algo firm at the time), a firm serving as a market maker for both the buy and sell side of the market, ...

  • Dadmin
  • October 13, 2021
The Role of Compliance when Appointing a NED

Do you have a Non-Executive Director (“NED”) on the board or are you thinking of appointing a NED?Some larger financial services organisation...

  • Dadmin
  • July 12, 2021

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