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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2014-07-15T15:45:00
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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
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2015-01-21T13:45:00Z By Jaclyn Jaeger
Six months following Citigroup’s $7 billion settlement with the government to resolve a federal investigation into the sale of subprime mortgages, the bank’s compliance monitor has published his first report on progress made. The report details Citi’s efforts on outreach requirements, tax reporting requirements, and consumer relief credit to date. ...
2021-09-01T17:26:00Z By Jaclyn Jaeger
Steven Wolfe, the former chief compliance officer of investment adviser Tellone Management Group, has been charged by the SEC for his role in a fraudulent scheme to hide information from investors.
2016-04-18T12:45:00Z By Jaclyn Jaeger
The Justice Department last week announced a $5 billion settlement with banking giant Goldman Sachs to resolve claims related to its packaging, securitization, marketing, sale, and issuance of residential mortgage-backed securities. The resolution requires Goldman to pay $2.4 billion in a civil penalty under the Financial Institutions Reform, Recovery and ...
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