- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Bruce Carton2015-10-21T09:45:00
This week, President Obama announced his intent to nominate Lisa Fairfax, currently a law professor at the George Washington University Law School, and Hester Peirce, a senior research fellow at the Financial Markets Working Group at George Mason University’s Mercatus Center, as SEC commissioners. If confirmed, Fairfax and Peirce will ...
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2015-12-01T10:00:00Z By Joe Mont
On paper, the next several months mark the final stretch for the SEC’s implementation of Dodd-Frank Act rulemaking. In reality expect continued battles over the law, waged by both Republicans and Democrats. Recent congressional hearings gave a sense of what’s to come: stress tests for asset management funds, fights over ...
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.
2025-04-28T20:13:00Z By Ian Sherr
At some point, many compliance professionals say they’ve met an executive who approached their role dismissively. “I don’t want to talk about anything that doesn’t bring money in the door,” one attendee remembers a senior executive saying to them.
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