- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The Markets in Financial Instruments Directive and the Consolidated Audit Trail will be vital tools for regulating a financial sector increasingly moving at speeds too fast to follow.
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Historically, the Securities and Exchange Commission has fiercely protects the rights of retail investors, and is constantly churning out enforcement actions against investment advisers it alleges have defrauded and manipulated its customers. So, it was somewhat unusual that SEC issued an enforcement action this week that involved protecting the rights ...
A “biblically responsible” investment adviser agreed to pay $300,000 and hire an independent compliance consultant to settle charges with the Securities and Exchange Commission that it misled investors, along with other compliance failures.
Waves of fallout from the collapse of cryptocurrency trading platform FTX continue to ripple, as accounting firm Prager Metis has learned.
