- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Adrianne Appel2023-11-10T16:00:00
If your company is faced with an all-out crisis—whether a cyber event, fraud, malfeasance, or product failure—it’s important to first step back and look at the situation.
If possible, ask your general counsel for an initial assessment directed at “sizing up what exactly you’re dealing with,” said William McLucas, a partner at law firm WilmerHale, during a panel discussion on managing crises at the Securities and Exchange Commission’s (SEC) Securities Enforcement Forum 2023 held in October.
If it’s clear regulators will be involved, immediately choose an approach for how to handle the next three days, he said.
2023-10-25T20:09:00Z By Aaron Nicodemus
Gurbir Grewal, head of the Enforcement Division at the Securities and Exchange Commission, outlined the scenarios in which the agency would charge a chief compliance officer for securities law violations.
2023-05-31T17:00:00Z By Jeff Dale
Businesses can be well prepared to manage a crisis by having continuity among stakeholders and avoiding leakage of privileged information to prevent conflict, a panel of legal and compliance experts shared at Compliance Week’s 2023 National Conference.
2023-05-30T15:10:00Z By Kyle Brasseur
Regulators are collaborating—both domestically and internationally—more than ever before. And they expect companies to be doing the same, noted panelists during a session on collaboration between compliance and human resources at Compliance Week’s 2023 National Conference.
2025-06-26T15:37:00Z By Aaron Nicodemus
Bank examiners at the Federal Reserve Board will no longer assess reputational risk during examinations, a concession to the banking industry already underway with two other U.S. regulators.
2025-05-29T16:07:00Z By Aaron Nicodemus
Corporate governance is, all too often, handed down from generation to generation. Like a well-worn jacket, it works great—until it doesn’t. Typically, it is a crisis that forces companies to reassess their corporate governance framework, as gaps are filled and poor policies rewritten. But it doesn’t have to be that ...
2025-03-10T20:56:00Z By Adrianne Appel
The public reported a 25 percent increase in losses–totaling more than $12.5 billion in 2024–to investment scams, tech rip-offs, and general fraud, according to an analysis by the Federal Trade Commission.
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