- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Few companies so far have addressed the audit requirement in the SEC’s Conflict Minerals Rule, although that will likely change as the June deadline for your second year’s filings approaches.
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The SEC finds itself yet again at a legal crossroads concerning its embattled Conflict Minerals Rule. One path leads to the Supreme Court; the other, a retreat from a cornerstone of the rule’s disclosure requirements. At stake is not just the Conflict Minerals Rule alone, but potentially a wide range ...
Image: As a June 1 deadline nears for companies’ second year of conflict minerals compliance, some might consider life beyond the next Form SD filing to a broader risk management program for suppliers. It can be done, particularly with the OECD’s framework for conflict minerals due diligence. “The entire rule ...
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.
