Harriet is the Chief Operations Officer of MirrorWeb. She joined the company in 2018, bringing a wealth of global account management experience. She has helped oversee the company’s growth, as well as the evolution of the MirrorWeb product and service offering. In her spare time, Harriet runs around after 2 small children and spends as much time as possible in her happy place; on beaches in North Wales (rain or shine) with her family and friends.
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Following August 2024's wave of enforcement, an updated overview of the SEC's three year probe into off-channel communications.
Read StoryA closer look at the investigation timeline, and why it continues to escalate.
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An analysis of the Executive Order on digital assets, its implementation process, and what it means from the perspective of regulatory compliance.
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A compliance officer’s role, its evolution, the multitude of challenges which CCOs contend with on a daily basis, and how a role so notoriously demanding can be made more manageable.
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As cryptocurrency continues to surge in popularity, it has found itself in regulators' crosshairs globally.
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A look at how JP Morgan’s $200 million fine for noncompliance signifies the end of a grace period for companies to adapt to the shift to a remote/hybrid workforce.
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The SEC lays out specific recordkeeping rules for investment advisor to follow, or else face significant fines and penalties.
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Complying with SEC regulations of recordkeeping isn't difficult, but it requires a fit-for-purpose solution.
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FINRA reviews their rules around social media influencers and customer acquisition - we can’t say they didn’t warn us.
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