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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2018-12-31T11:15:00
The SEC is once again digging into disclosure reforms, and the debate has shifted from what to file to how frequently companies need to file.
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2019-03-21T20:39:00Z By Joe Mont
The SEC has adopted amendments to Regulation S-K disclosure requirements and MD&A filings that are intended to improve the readability of company disclosures and to discourage repetition and immaterial information.
2024-12-10T18:35:00Z By Adrianne Appel
A lack of supervision and internal controls at Morgan Stanley Smith Barney allowed four of its investment advisers to steal millions from customers before the behavior was detected, the SEC said in charging the firm.
2024-12-10T17:23:00Z By Ruth Prickett
Earlier this year, amid then-Republican presidential candidate Donald Trump’s campaign promise to end taxes on tips in the U.S., the U.K. government introduced a new law to ensure that all tips are paid in full to staff, regardless of whether they were given in cash or by credit card. ...
2024-11-27T15:09:00Z By Aaron Nicodemus
The biggest Compliance Fails of 2024 show the real-world consequences of noncompliance for the companies that faltered, but also for their customers and their employees.
2024-11-25T14:04:00Z By Aly McDevitt
Former U.S. Deputy Attorney General Larry D. Thompson participated in landmark legal cases, such as the Justice Department’s Enron investigation and the Volkswagen Independent Compliance Monitorship. Now his memoir looks back on his extensive career in compliance, offering profound insights into corporate culture, diversity, ethics, and integrity.
2024-09-03T13:47:00Z By Ian Sherr
New Compliance Week Editor-In-Chief Ian Sherr shares his thoughts on where compliance is headed as businesses meet the realities of not just following the rules, but staying ahead of the pace of regulatory change at a global scale.
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