- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2015-02-18T12:45:00
The SEC has been pushing its “broken windows” enforcement strategy for more than a year now, chasing down minor infractions alongside larger securities violations. What have we learned? For starters, don’t expect isolated citations; larger sweeps get more bang for the SEC’s buck. As for compliance officers, their jobs will ...
2015-10-20T14:45:00Z By Joe Mont
Image: A chronic dilemma for the SEC Enforcement Division is how best to focus its efforts given resource constraints. Enforcement Director Andrew Ceresney had to answer for how those decisions are made during a meeting of the Investment Advisory Committee last week. Despite calls to abolish the “broken windows” approach, ...
2025-07-02T18:31:00Z By Aaron Nicodemus
Emerging enforcement priorities of the U.S. Department of Justice’s health care fraud division align with the Trump administration’s emphasis on prosecuting transnational criminal organizations and ending opioid trafficking.
2025-07-01T23:39:00Z By Oscar Gonzalez
The Department of Government Efficiency (DOGE) has a new target, and this time it won’t be just firing federal workers. The agency formed by Tesla CEO Elon Musk at the start of the Trump administration wants to roll back more regulations.
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