- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Ian Sherr2025-05-01T20:09:00
As conversations about corporate accountability increasingly turn to include questions about “tone from the top” and the responsibility of senior leadership and boards of directors, compliance professionals are increasingly discussing what to do when they see executive wrongdoing. The answer, one panelist who’d help lead a multinational company said, is to document any issues, and then prepare to quit if they’re not addressed.
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
2023-08-02T19:57:00Z By Adrianne Appel
The clock is ticking for public companies to put in place policies and practices to meet the requirements of the Securities and Exchange Commission’s newly approved cybersecurity incident disclosure rule.
2023-06-12T13:00:00Z By Aaron Nicodemus
Federal banking regulators have indicated they will be more assertive in their supervision of mid-sized banks in the aftermath of the collapses of Silicon Valley Bank, Signature Bank, and First Republic Bank. What actions might they take?
2023-06-07T19:54:00Z By Aaron Nicodemus
A new report by KPMG on key regulatory challenges for the second half of 2023 warned financial institutions to prepare for increased scrutiny, while all companies should expect more questions on how they oversee their cybersecurity and data management programs.
2025-05-01T21:38:00Z By Adrianne Appel
The New York Department of Financial Services (NYDFS), led by Superintendent Adrienne Harris, doesn’t intend to let up on cryptocurrency enforcement, even in the face of pullback from the federal government.
2025-04-30T17:17:00Z By Adrianne Appel and Aly McDevitt
Tom Hardin AKA “Tipper X” went from a young trader with his whole career ahead of him to an inside trader who got caught, acted as a Federal Bureau of Investigation informant for two years, and pleaded guilty to a felony.
2025-04-29T16:27:00Z By CW Staff
More than 400 attendees gathered at the Mayflower Hotel in downtown Washington, D.C. for Compliance Week’s 20th annual National Conference from April 28-29. The conference gathers compliance professionals and their peers from around the globe to share best practices and discuss key issues and regulatory developments.
Site powered by Webvision Cloud