- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert that details the most prevalent compliance miscues identified in its examinations of investment advisers
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A risk alert from the Securities and Exchange Commission listed top reasons why a registered broker-dealer might be the subject of an examination.
The Securities and Exchange Commission announced Peter Driscoll, the director of the Division of Examinations (formerly OCIE), will leave the agency in August.
The long-awaited 2021 examination priorities of the Securities and Exchange Commission were released Wednesday, with climate- and ESG-related risks unsurprisingly among areas that will receive enhanced focus.
