- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Eldon Sprickerhoff2017-07-18T11:45:00
The SEC is testing investment firms for cyber-security readiness. Preparing for it is a marathon, not a sprint.
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2019-02-28T10:45:00Z By Joe Mont
With an eye toward improving data management and cyber-security oversight, the SEC has approved changes to the submission deadlines for registered investment companies filing non-public monthly reports.
2017-10-03T10:00:00Z By Joe Mont
Highly publicized breaches at the SEC and Equifax reveal how compliance efforts and reputation protection is often undermined by a lack of common sense.
2025-05-01T22:54:00Z By Aaron Nicodemus
When he was hired two years ago by General Bank of Canada (GBC), Adam Ennamli was tasked with shaking up the bank’s compliance function. For too long, the small ($3.5 billion Canadian dollars in assets) but fast-growing bank based in Edmonton had spread its compliance functions across different departments. Many ...
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