- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Kyle Brasseur2020-01-27T17:59:00
A recent court ruling tells the story of a former chief compliance officer that “literally had no idea what he was doing or what he was getting himself into” when he took the position at an investment advisory firm.
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2020-07-27T13:01:00Z By Aaron Nicodemus
If you’re a small investment firm owner acting as your firm’s chief compliance officer, here are some scary stories that might keep you up at night.
2025-05-23T18:33:00Z By Aaron Nicodemus
The Department of Justice and Federal Trade Commission have bolstered a conservative legal effort to dismantle environmental, social, and governance-based investment strategies from three large asset managers by claiming they illegally conspired to artificially raise energy prices.
2025-05-23T16:19:00Z By Oscar Gonzalez
Three former commissioners of the Consumer Product Safety Commission who were fired by President Donald Trump earlier this month have filed a lawsuit against the government over their dismissal. The move joins many more court battles over Trump’s sudden slashing of government agencies, which some courts have deemed illegal, blocking ...
2023-03-31T18:28:00Z By Aaron Nicodemus
The Committee of Sponsoring Organizations of the Treadway Commission created a framework for companies seeking to achieve effective internal control over sustainability reporting.
2021-01-04T16:30:00Z By Aaron Nicodemus
David Karas was named the first-ever chief compliance officer for Hitachi in October. He caught up with Compliance Week to discuss the impetus to elevate compliance at the multinational conglomerate and what he hopes to accomplish in his new position.
2020-09-02T17:24:00Z By Jaclyn Jaeger
Compliance reforms set to take place at the FBI include enhanced training and oversight mechanisms and a newly created office to carry out “rigorous and robust auditing.”
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