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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2019-08-21T18:18:00
Pharmaceutical company TherapeuticsMD agreed to pay a $200,000 penalty to resolve charges brought by the SEC for Reg FD violations. The case imparts some compliance lessons.
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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.
2024-12-05T09:07:00Z By CW Staff
Utility company Exelon Corp announced that Colette Honorable will be named chief legal officer and corporate secretary.
2024-12-05T08:56:00Z By CW Staff
Global defense technology company Lockheed Martin named Kevin O’Connor as the corporation’s new senior vice president, general counsel and corporate secretary, effective Jan. 13.
2024-12-03T21:32:00Z By Aaron Nicodemus
German petrochemical parts supplier Aiotec agreed to pay $14.5 million to settle allegations that it engaged in a four-year conspiracy to dismantle and ship a plastics manufacturing plant owned by a U.S. company to Iran, in violation of U.S. sanctions.
2024-12-03T17:48:00Z By Aaron Nicodemus
Kiromic BioPharma will pay no fine to the Securities and Exchange Commission after self-reporting that it failed to disclose material information about two cancer drugs to investors.
2024-11-26T19:59:00Z By Jeff Dale
The U.K. Financial Conduct Authority fined the London branch of Australian-based Macquarie Bank Limited more than 13 million pounds (U.S. $16.3 million) for “serious control failures” that allowed a trader to conceal hundreds of fictitious trades over a 20-month period.
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