- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By CW Staff2015-11-10T11:45:00
It's official: the Department of Justice Criminal Division has announced that it has retained Hui Chen as a full-time compliance expert, as of Nov. 3. She will report to Andrew Weissmann, Chief of the Fraud Section, and Dan Braun, acting chief of the strategy, policy, and training unit in the ...
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2015-11-24T11:45:00Z By Jaclyn Jaeger
Image: Now that the Justice Department has named Hui Chen, former global head of anti-bribery and corruption at Standard Chartered Bank, as its first-ever compliance counsel, corporations under investigation by the department can expect a more nuanced analysis of their compliance programs. Inside, we review what Chen has disclosed so ...
2025-03-19T11:53:00Z By Adrianne Appel
An investment company and its founder, president, and chief compliance officer flagrantly kept violating mutual fund rules for multiple years after settling with the Securities and Exchange Commission, the SEC said in a complaint against the company.
2025-03-12T16:01:00Z By Adrianne Appel
Two executives at New York-based Momentum Advisors, including the firm’s chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.
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