- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
As I wrote here last month, the Second Circuit's decision in U.S. v. Newman has resulted in a flurry of recent pleas from people such as Mark Cuban, James Stewart and others for Congress to, finally, define the law of insider trading.
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Gatekeepers including chief financial officers and the chair of the audit committee have a responsibility to shareholders to report fraud wherever they find it–especially when that fraud involves an artificial intelligence tool meant to combat fraud.
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.
Walgreens agreed to pay nearly $107 million to resolve allegations, first brought by two whisteblowers, that it improperly billed federal healthcare programs for prescriptions that were never picked up or delivered.
