- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
SEC Director of Enforcement Andrew Ceresney recently provided some detailed updates on the work and recent results of the Enforcement Division’s national litigation program. He characterized the litigation docket as “busy,” with approximately 130 litigators in the national trial unit who are currently litigating more than 550 cases. He stated ...
THIS IS MEMBERS-ONLY CONTENT. To continue reading, choose one of the options below.
News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
Financial services firm Cantor Fitzgerald will pay a $6.75 million fine to the Securities and Exchange Commission for making misleading statements regarding two special purpose acquisition companies that it controlled.
London has long had the dubious reputation of being the world’s money laundering capital and it looks like it’s a title it is likely to retain for some time yet.
A lack of supervision and internal controls at Morgan Stanley Smith Barney allowed four of its investment advisers to steal millions from customers before the behavior was detected, the SEC said in charging the firm.
