- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC’s Office of Compliance Inspections and Examinations has released an overview of its examination priorities for 2016. New areas of focus include liquidity controls, public pension advisers, product promotion, exchange-traded funds, and variable annuities. A continuing focus will be placed on protecting investors in ongoing risk areas such as ...
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First Horizon Advisors will pay a $325,000 fine to settle allegations from the Securities and Exchange Commission that it violated Regulation Best Interest in part due to issues with incorporating a merged firms’ accounts into its systems.
Gatekeepers including chief financial officers and the chair of the audit committee have a responsibility to shareholders to report fraud wherever they find it–especially when that fraud involves an artificial intelligence tool meant to combat fraud.
Fines for off-channel communications use by employees just keep on coming, with 12 municipal advisory firms fined a total of $1.3 million in the latest Securities and Exchange Commission sweep.
