- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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The Securities and Exchange Commission brought a record-breaking number of enforcement actions in fiscal year 2014, including several against compliance and audit executives. That should come as no surprise: Enforcement Director Andrew Ceresney (pictured above) warned last spring that the SEC wouldn’t hesitate to pursue executives, including compliance professionals, when ...
In striking down penalties against cryptocurrency mixer Tornado Cash for violating U.S. sanctions, a federal appeals court may have started to chip away at anti-money laundering regulations established by Democrats even before President-elect Donald Trump takes office.
The biggest Compliance Fails of 2024 show the real-world consequences of noncompliance for the companies that faltered, but also for their customers and their employees.
