- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The Commodity Futures Trading Commission is bringing two, much-needed commissioners to the table with the swearing-in of Brian Quintenz and Rostin Behnam.
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Fines for off-channel communications use by employees just keep on coming, with 12 municipal advisory firms fined a total of $1.3 million in the latest Securities and Exchange Commission sweep.
Seven public companies will pay a total of $3 million in fines for requiring employees to sign agreements containing provisions that impeded their ability to report misconduct to the Securities and Exchange Commission.
Massachusetts-based technology company Circor International settled charges with the Securities and Exchange Commission regarding deficient internal accounting controls without paying a fine.
