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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2019-06-27T18:17:00
A London Southwark Crown Court jury on June 27 convicted two individuals—a senior compliance officer of UBS and a day trader of financial securities—and sentenced them to three years’ imprisonment for insider trading.
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2020-12-18T17:38:00Z By Aaron Nicodemus
A U.K. appeals court upheld five insider trading convictions against a former senior compliance officer at investment bank UBS.
2019-07-11T15:13:00Z By Kyle Brasseur
The SEC has filed insider trading charges against a former Illumina accountant and friend whose alleged scheme resulted in $6.2 million in profits.
2024-11-28T10:14:00Z By CW Staff
Banco BPM appointed Edoardo Faletti as the new head of the risk management function (risk manager) as well as chief risk officer.
2022-04-08T13:25:00Z By Neil Hodge
P&O Ferries’ dismissal of 800 workers with immediate effect via prerecorded video before consulting unions or employees has united U.K. politicians of all parties to condemn the company. One problem: Its actions appear to be largely legal.
2020-05-11T18:08:00Z By Neil Hodge
E-commerce giant Amazon has shut up shop in France because the cost of compliance with the country’s COVID-19 emergency measures is deemed to be too high.
2020-04-16T19:11:00Z By Neil Hodge
European businesses may be putting themselves at risk because they mistakenly believe regulators are prepared to loosen the rules so companies can operate more easily as the coronavirus pandemic lingers on.
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