- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC is testing investment firms for cyber-security readiness. Preparing for it is a marathon, not a sprint.
THIS IS MEMBERS-ONLY CONTENT. To continue reading, choose one of the options below.
News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
Register for free
Receive the CW newsletter and access CPE webcasts.
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.
Highly publicized breaches at the SEC and Equifax reveal how compliance efforts and reputation protection is often undermined by a lack of common sense.
RTX Corp., the parent company of Raytheon, disclosed in a public filing it has reserved $1.24 billion to resolve legacy legal matters with the Department of Justice, Securities and Exchange Commission, and Department of State.
