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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By CW Staff2017-11-03T14:30:00
The Securities and Exchange Commission has named Charles Cain chief of the Enforcement Division's national specialized Foreign Corrupt Practices Act Unit that focuses on violations of the anti-bribery provisions of the federal securities laws.
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2025-03-19T11:53:00Z By Adrianne Appel
An investment company and its founder, president, and chief compliance officer flagrantly kept violating mutual fund rules for multiple years after settling with the Securities and Exchange Commission, the SEC said in a complaint against the company.
2025-03-17T19:10:00Z By Adrianne Appel
Investment companies will have six additional months to comply with an update to the Securities and Exchange Commission rule aimed at making investment fund names more accurate.
2025-03-12T16:01:00Z By Adrianne Appel
Two executives at New York-based Momentum Advisors, including the firm’s chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.
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