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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Kyle Brasseur2023-06-21T14:06:00
Tool manufacturer Stanley Black & Decker (SBD) avoided a civil penalty in settling with the Securities and Exchange Commission (SEC) regarding alleged violations of executive perk disclosure rules.
SBD agreed to cease and desist from violations of reporting and proxy solicitation provisions of the securities laws in reaching settlement. The SEC lauded the company’s cooperation in announcing Tuesday that it earned a declination of charges in a separate case involving a former company executive.
Jeffery Ansell, the former executive in SBD’s tools and storage segment, was fined $75,000 in settling with the SEC for allegedly causing the company to violate securities laws regarding compensation disclosures.
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News and analysis for the well-informed compliance or audit exec.
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Our lowest price ($1 per day) for one year.
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2023-12-14T18:23:00Z By Kyle Brasseur
The board of British oil and gas giant BP announced its remuneration determinations after finding former CEO Bernard Looney committed “serious misconduct” in his disclosure of personal relationships with company colleagues.
2023-07-25T17:40:00Z By Jeff Dale
The Securities and Exchange Commission announced the appointments of Natasha Vij Greiner and Keith Cassidy as interim acting co-directors of the Division of Examinations while Director Richard Best is on medical leave.
2023-07-05T17:53:00Z By Jeff Dale
View, a California-based manufacturer of smart windows, avoided civil penalties after self-reporting apparent disclosure violations to the Securities and Exchange Commission.
2024-07-26T19:18:00Z By Jeff Dale
RTX Corp., the parent company of Raytheon, disclosed in a public filing it has reserved $1.24 billion to resolve legacy legal matters with the Department of Justice, Securities and Exchange Commission, and Department of State.
2024-07-26T15:51:00Z By Aaron Nicodemus
The U.K. Financial Conduct Authority issued a fine of $4.5 million (3.5 million pounds) against a U.K.-based subsidiary of crypto platform Coinbase for providing services to high-risk customers in violation of FCA rules.
2024-07-26T13:36:00Z By Adrianne Appel
Admera Health agreed to pay more than $5.5 million to resolve allegations first brought by two whistleblowers that it paid kickbacks to third-party contractors, the Department of Justice said.
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