- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Bruce Carton2015-09-24T09:45:00
This week, the SEC fined investment advisory firm R.T. Jones Capital Equities Management for failing to establish required cyber-security policies and procedures, which later led to a breach that compromised the personal data of roughly 100,000 customers. It is the first enforcement action the SEC has brought against a regulated ...
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2015-10-06T11:00:00Z By Tammy Whitehouse
Image: As cyber-security and IT controls rise up the priority list in corporate audits, a new wrinkle is emerging: numerous frameworks (COSO, NIST, CoBIT) used by numerous parties, all trying to build effective control systems. That could lead to painful detours in mapping controls, if compliance executives don’t plan carefully. ...
2025-05-01T14:39:00Z By Neil Hodge
Antitrust infringement cases in the United Kingdom can run on for years, but there’s a question whether issuing fines that are dwarfed by the revenues of those organisations involved is a worthy deterrent—particularly if they are imposed over a decade after the misconduct ended. It’s also debatable whether the first ...
2025-04-28T21:38:00Z By Aaron Nicodemus
Whistleblowing in the United States is being buffered by uncertainty from regulators who are backing off policing corruption and consumer protections. Regulators like the Department of Justice and the Securities and Exchange Commission are being thrown into disarray by layoffs and restructuring. Still, whistleblowers will likely continue coming forward.
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