- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2017-06-12T13:00:00
The SEC has charged a Utah-based brokerage because it "routinely and systematically failed to file Suspicious Activity reports for stock transactions that it flagged as suspicious."
2017-09-19T10:30:00Z By Joe Mont
The leader of LexisNexis Risk Solutions' global anti-money laundering solutions strategy discusses trends in AML, risk management technology, and the evolution of FinTech compliance.
2017-06-16T11:00:00Z By Joe Mont
The SEC has once again punished a CCO for neglecting their duties and ignoring red flags at a firm under investigation for suspect activities. Failing to file suspicious activity reports was at the root of the problem.
2025-06-25T16:29:00Z By Oscar Gonzalez
In May, three commissioners for the Consumer Product Safety Commission were abruptly fired by President Donald Trump and sued for their jobs shortly after. A federal judge has ruled that the commissioners should be reinstated, although it’s unclear whether that ruling may itself be reversed.
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