- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By CW Staff2015-03-05T11:15:00
The Municipal Securities Rulemaking Board has promoted Deputy General Counsel Lawrence Sandor to the new position of chief compliance officer, in which he will be responsible for managing the MSRB’s corporate governance, regulatory support, internal legal and compliance activities. Sandor reports to the MSRB’s new chief legal officer, Robert ...
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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.
2025-01-28T15:35:00Z By Aaron Nicodemus
Maria Aristidou Demetriou, chief compliance officer at Cyprus-based Hellenic Bank, spoke to Compliance Week about derisking in the Cypriot banking sector since Russian’s invasion of Ukraine and efforts to combat corruption, money laundering, and sanctions evasion.
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