Automatically monitor regulatory updates to map to your internal policies, procesures and controls. Learn More
-

1558 Enforcement Actions in the U.S. over past 30 days

-

FTC enforcements decreased 55% over the past 30 days

-

SEC issued enforcements: $37,812,859 over the past 30 days

-

50 Final Rules go into effect in the next 7 days

-

49 Mortgage Lending docs published in the last 7 days

-

1670 docs with extracted obligations from the last 7 days

-

new Proposed and Final Rules were published in the past 7 days

-

11906 new docs in pro.compliance.ai within the last 7 days

-

Considering RCM Solutions?  Here’s an RFP to get started.

-
E1E2D777 0E0C 4B5C B1B8 AA0A6B102004

Scott Anderson

Scott Anderson has been a Chief Compliance Officer and senior counsel for several large, global financial organizations, with over 25 years of experience in the financial services industry as a regulator, attorney and senior compliance leader.
Mr. Anderson most recently served as the Chief Compliance Officer for the US Operations of Crédit Agricole, and as the Americas CCO for Société Générale. He was employed for much of his career at UBS, where he began as an attorney in the Legal Department for the Investment Banking Division and culminating as the Americas CCO for the Investment Banking Division and Wealth Management Americas.
Earlier in his career, Mr. Anderson lead the Compliance organization within Fidelity’s Capital Markets Division and was a capital markets attorney in the Legal Department for JP Morgan Chase.
He began his career in the Enforcement Division for NASD Regulation (now FINRA) before working as an attorney in Nasdaq’s Office of General Counsel, where he was responsible for trading and market structure rules, as well as international market development.
Mr. Anderson earned a Bachelor of Arts degree from the University of Richmond, a Juris Doctor from the University of Tennessee College of Law, and a Master of Laws (LLM) in Securities and Financial Regulation from Georgetown University.

X